| 19-02086 | 01/17/2020 | Claimant(s): Charles Mercer
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
| | |
| 19-01113 | 12/12/2019 | Claimant(s): Stanley Keyes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Pan-American Financial Advisers
Respondent Lawyers(s): Daniel Lagrone, Robert M. Rudnicki
Arbitrator(s): Brian P. Jakes
Hearing Site: New Orleans, LA
| | |
| 19-00423 | 11/22/2019 | Claimant(s): Keith Davis
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): John P. Cullem, Howard A. Baker, Lewis Gordon Brewer
Hearing Site: Orlando, FL
| | |
| 18-00234 | 06/28/2018 | Claimant(s): John Foran
Claimant Lawyers(s): Eric Litow
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | |
| 17-02985 | 05/30/2018 | Claimant(s): Aaron Graham
Claimant Lawyers(s): Owen Harnett
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mary Margaret Bush
Hearing Site: Salt Lake City, UT
| | |
| 18-01008 | 05/25/2018 | Claimant(s): Matthew Lasko
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 17-01549 | 04/26/2018 | Claimant(s): Peter Marketos
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates.
Respondent Lawyers(s): John T. McGuire, Robert M. Rudnicki
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 17-01537 | 04/05/2018 | Claimant(s): Peter Marketos
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates.
Respondent Lawyers(s): Ralph T. Izzo, Robert M. Rudnicki
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | |
| 17-01946 | 03/26/2018 | Claimant(s): Michael Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Securities Service Network.
Respondent Lawyers(s): Robert M. Rudnicki, Ronald T. Klimas
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp
Hearing Site: New York, NY
|  | Expungement |
