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FINRA Awards for Raymond James Financial Services.

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Displaying 71-76 out of 76 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0136302/29/2008Claimant(s): David Dawsey
Claimant Lawyers(s): Leah O. Taylor
Respondent(s): Ann Holman, Maxine Chappell, Raymond James Financial Services., AIG SunAmerica Life Assurance Co., Chappell & Holman Financial Advisors, In
Respondent Lawyers(s): Bruce W. Barnes, Joseph L. Larrinaga
Arbitrator(s): Robert G. Brunton, Ralph S. Paden, Daniel T. Hull
Hearing Site: Birmingham, AL
Checkmark Icon$0
06-0349101/03/2008Claimant(s): Kathryn Honea
Claimant Lawyers(s): J. Timothy Francis
Respondent(s): Bernard Michaud, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Victor L. Hayslip, Ronald Griffith Wilkins, Suzette Merriam Foster
Hearing Site: Birmingham, AL
Checkmark Icon$0
06-0042912/20/2007Claimant(s): Marvice Dodds, Mary Dodds, Dodds Body Works., Marvice & Mary Dodds TTEE Dodds
Claimant Lawyers(s): Francis A. Kovacs
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Susan K. Hollenbach, Mary D. Stevenson, Richard R. Edmister
Hearing Site: Columbus, OH
Checkmark Icon$0
06-0416111/15/2007Claimant(s): May Slover
Claimant Lawyers(s): Michael A. Dias
Respondent(s): Bryan Farris, Detroy Womack, Raymond James Financial Services., Richard McDowell, Timothy Lacey
Respondent Lawyers(s): Bryan D. Farris, Kelli Bullington, Richard S. McDowell
Arbitrator(s): Frederick N. Bailard, Ralph B. Perry, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
Checkmark Icon$8,300
06-0363810/12/2007Claimant(s): Sondra and Solomon Roseman
Claimant Lawyers(s): Louis M. Barbone
Respondent(s): Daniel Butler, Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Linda T. Pellegrino, Chris P. Drucker, Dwight Wassong
Hearing Site: Newark, NJ
Checkmark Icon$0
06-0478409/13/2007Claimant(s): Pamela Maloof, Pamela M. Maloof IRA, Pamela M. Maloof, and Kathleen J. Smit
Claimant Lawyers(s): Jeffrey P. Hintermeister
Respondent(s): Christopher Saxon, Kathleen Smitz, Raymond James Financial Services.
Respondent Lawyers(s): Christopher Eric Saxon, Erin Linehan, Jeffrey P. Hintermeister
Arbitrator(s): Todd L. Barlow, John L. Krauss, Michael J. Cork
Hearing Site: Indianapolis, IN
Checkmark Icon$393,375

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