| 12-02272 | 06/21/2013 | Claimant(s): Judith S. Primak Trust u/a DTD 7/15/82
Claimant Lawyers(s): Jerry M. Santangelo
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Harvey Frank, Jack L. Somers, Melissa B. VanDam
Hearing Site: Detroit, MI
|  | $0 |
| 11-02791 | 08/09/2012 | Claimant(s): Ann Ballas, Jonathan Nimphie, Stefani de Laville, Ann T. Ballas IRA, Martina A. Nimphie Rev Trust
Claimant Lawyers(s): Garry W. O'Donnell
Respondent(s): Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Richard J. Kaplan, George H. Rausch, Mark I. Roth
Hearing Site: Boca Raton, FL
| | $0 |
| 10-04885 | 05/24/2012 | Claimant(s): Laurie R. Rubin Inc., The Cole Sirott Goldenburg Cust. Acct., Laurie Rubin Revocable Trust
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Raymond James Financial Services., Raymond, James & Associates., Richard Barnard
Respondent Lawyers(s): Terrance A Bostic
Arbitrator(s): Robert L. Agusto
Hearing Site: Chicago, IL
| | $518,204 |
| 10-05604 | 02/29/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Erin Linehan Reyes
Respondent(s): Barbara Wortley
Respondent Lawyers(s): Robert A. Sweetapple
Arbitrator(s): John E. Sutton, Thomas C. Krumenacker, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $0 |
| 11-01093 | 09/13/2011 | Claimant(s): Sheryl Mead
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
| 09-05795 | 03/01/2011 | Claimant(s): Robert Axel, Wilburn McClure
Claimant Lawyers(s): Robert A. Axel, Willburn F. McClure
Respondent(s): Matthew Lowe, Raymond, James & Associates., Michael Magruder
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Thomas E. Shuck, Suzanne Viau Chamberlain, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $0 |
| 09-07063 | 02/24/2011 | Claimant(s): A. Welch, Patrick Curry
Claimant Lawyers(s): A. Walden Welch
Respondent(s): Jason Seale, Jerome Borzello, Raymond, James & Associates., American Wealth Management.
Respondent Lawyers(s): Erin Linehan, Steven Sherman
Arbitrator(s): Jonathan Holman Hathaway, George T. Fleming, Harvey M. Baraban
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 09-02082 | 12/20/2010 | Claimant(s): Donald Hanks
Claimant Lawyers(s): Don F. Hanks
Respondent(s): Betty Saunders, Raymond, James & Associates., Susan Saunders
Respondent Lawyers(s): Kelli Bullington, William W. Deem
Arbitrator(s): Robert W. Schlitt, Maurice M. Feller, Robert S. Anderson
Hearing Site: Orlando, FL
| | $0 |
| 09-04932 | 11/10/2010 | Claimant(s): RSA 1 Limited Partnership
Claimant Lawyers(s): Stanley J. Thompson
Respondent(s): Duane Sturm, Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Andrew R. Dick, Mark S. Gleason, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | Auction Rate Securities related |
| 09-00826 | 08/20/2010 | Claimant(s): Rex Glendenning, Sherese Glendenning
Claimant Lawyers(s): Howard J. Klatsky
Respondent(s): Larry Milton, Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): R. Theodore Moock, Lawrence R. Maxwell, Edward J. Lynch
Hearing Site: Dallas, TX
| | Auction Rate Securities related |
