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FINRA Awards for Raymond James Financial Services.

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Displaying 71-80 out of 117 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0007706/23/2017Claimant(s): John Wheeler
Claimant Lawyers(s): John R. "Jack" Kiefner
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): John P. Cullem, Richard Kennard Hurley, John Alan Hawke
Hearing Site: Tampa, FL
16-0310405/11/2017Claimant(s): Stephen Overton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
16-0257005/09/2017Claimant(s): Mariann Miller
Claimant Lawyers(s): Mariann Brand Miller
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
16-0254703/07/2017Claimant(s): Dean Williamson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
15-0304911/08/2016Claimant(s): Eric Jansson
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Patricia Gunn, Maurice M. Feller, Sydney E. Blum
Hearing Site: Tampa, FL
13-0149405/13/2016Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Andrea Morgan Greene
Respondent(s): Brian Anderson, Thomas Pewitt
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Milton C. West, C. Sumpter Logan, James Edward Seale
Hearing Site: Birmingham, AL
15-0249304/18/2016Claimant(s): Edward McDonough
Claimant Lawyers(s): Edward Aloysius McDonough
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Robert J. Walter, Lori Beth Kamen, John Briggs
Hearing Site: Orlando, FL
15-0154803/31/2016Claimant(s): Gary Cremo
Claimant Lawyers(s): Christine A. Page
Respondent(s): Oppenheimer & Co.., Raymond James Financial Services.
Respondent Lawyers(s): John T. McGuire, Robert M. Rudnicki
Arbitrator(s): Elliott David Finkel, Gerald C. Tambe, Dana L. Bigman
Hearing Site: Los Angeles, CA
15-0241403/22/2016Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Imtiaz Chowdhury
Respondent Lawyers(s): Lance C. Arney
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
14-0226803/09/2016Claimant(s): Charles Dyer
Claimant Lawyers(s): Robert G. McIver
Respondent(s): James Brown, Kirk Smith, Raymond James Financial Services.
Respondent Lawyers(s): Kenneth W. McAllister, Robert M. Rudnicki
Arbitrator(s): Charles S. Clayton, Richard E. Miley, Stephen Gregg Ellis
Hearing Site: Raleigh, NC

117 Results

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