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FINRA Awards for Raymond James Financial Services.

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Displaying 101-110 out of 117 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0222704/26/2012Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): William Munier
Respondent Lawyers(s): William Munier
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
10-0429003/22/2012Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): Eric Dishner
Respondent Lawyers(s): Eric M. Dishner
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
10-0155412/14/2011Claimant(s): Robert Lipka
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): Katherine Alcorn, Raymond James Financial Services.
Respondent Lawyers(s): David A. Gehn, Glenn A. Duhl
Arbitrator(s): Paul Weinberg, Bernard Korman, Adam M. Kauff
Hearing Site: New York, NY
10-0078405/27/2011Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Chad N. Cagan
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
10-0365401/31/2011Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Joel Archer
Respondent Lawyers(s): Joel Earl Archer
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
10-0080301/06/2011Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Dwight Hazelwood
Respondent Lawyers(s): Dwight Hazelwood
Arbitrator(s): Keith D. Patten, Paul Mann
Hearing Site: Little Rock, AR
10-0108010/25/2010Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Cliff Anderson
Respondent(s): John Andrews
Respondent Lawyers(s): John Andrews
Arbitrator(s): Daniel Herbert Margolis
Hearing Site: Washington, DC
09-0689205/24/2010Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Derek C Anderson
Respondent(s): Robert Mayfield
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
09-0004703/29/2010Claimant(s): S. L. Reed & Company, Windward Capital Management Co.
Claimant Lawyers(s): Daniel K. Dik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Blaine Smith, J. Jean Elliott, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
08-0479312/21/2009Claimant(s): Christopher Wanken
Claimant Lawyers(s): Christopher Michael Wanken
Respondent(s): John Wanken, Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan, William J. Dunne
Arbitrator(s): Michael E. Rohde, Maryanne M. Esser, Thomas Richard Delaney
Hearing Site: Dallas, TX

117 Results

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