| 21-00944 | 03/22/2023 | Claimant(s): Estate of Dennis Ponnock, Dennis Ponnock Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): Edward Fernberger, Raymond, James & Associates.
Respondent Lawyers(s): Bruce W. Barnes, Laura T. Ruiz Rivera
Arbitrator(s): Monica I. Salis, Steven Gerard Goerke, Laura C Myers
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-02665 | 07/22/2022 | Claimant(s): Joseph Petri
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Diane M. Perry, Robin Inez Willner, Erika-Rae M Harvey
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12200 |
| 18-04310 | 04/21/2022 | Claimant(s): Judith Cambron
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Christopher Hibbard, Raymond, James & Associates., Patrick Strehl
Respondent Lawyers(s): Christopher Lee Hibbard, Peter S. Fruin
Arbitrator(s): John R. Michael, Linda W. Hester, Robert David Epstein
Hearing Site: Louisville, KY
| | Expungement |
| 20-03921 | 03/25/2022 | Claimant(s): Nicholas Packer, Hove Investments Holding Limited
Claimant Lawyers(s): Brendan J. O'Rourke
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Eugene G. P. Byrne, Nicholas M. Herubin, Samuel Philip Gunther
Hearing Site: New York, NY
| | Expungement |
| 20-01542 | 01/05/2022 | Claimant(s): Jennifer D. Port as Trustee, Lawrence A. Savarese, Jr. as Trustee
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Herbert Branitsky, Mitchell Stephen Feig, Margo Leslie Green
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
| 20-01976 | 12/03/2020 | Claimant(s): Jeffrey Blenkarn
Claimant Lawyers(s): Daniel Broxup
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Michael John Falvo
Hearing Site: Detroit, MI
| | $300 |
| 17-02304 | 05/12/2020 | Claimant(s): Angelina J. Cuccaro Family Trust
Claimant Lawyers(s): Stephen Studer
Respondent(s): Paul Steffany, Raymond, James & Associates.
Respondent Lawyers(s): George D. Sullivan, Paul Anthony Steffany
Arbitrator(s): Lewis S. Kurlantzick, Robert L. Chase, Peter E. Gillespie
Hearing Site: Hartford, CT
| | Settlement |
| 16-02458 | 03/09/2020 | Claimant(s): Charles H. Jones Family Foundation.
Claimant Lawyers(s): Jo Lanier Meeks
Respondent(s): John Crook, Raymond, James & Associates.
Respondent Lawyers(s): Frank A. Lightmas, Terry R. Weiss
Arbitrator(s): William Barker Brown, James David Askren, Larry Mims
Hearing Site: Atlanta, GA
| | $0 |
| 19-01097 | 02/13/2020 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Alexys Mckenzie, Janet Bentley-Ewers, Joquinn Sadler, Raymond, James & Associates., IFS Securities
Respondent Lawyers(s): Brandy N. Pikus, Richard E. Brodsky
Arbitrator(s): Steven R. Bralove, Joyce A. Mitchell, Barbara Hill Bink
Hearing Site: Washington, DC
| | Dismissed by Rule 12206/12504 |
