19-02079 | 11/30/2021 | Claimant(s): Joe King, Lynn Faust, Michael Faust Claimant Lawyers(s): Debra A. Jenks, Marc S. Dobin Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Louis F. Mendez Arbitrator(s): Suzanne E. Reynolds-Brady, Cindy L. Anderson, Meeta Alberta Bass Hearing Site: Tampa, FL
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19-00194 | 03/25/2020 | Claimant(s): Thomas Hirsch Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Louis F. Mendez Arbitrator(s): Allan Weiss, Gregory Hunter Mathews, James A. McIntosh Hearing Site: Louisville, KY
| | Dismissed by Rule 12206/12504 |
18-01992 | 07/30/2019 | Claimant(s): John Steer Claimant Lawyers(s): Philip J. Castagno Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Louis F. Mendez Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY
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14-01708 | 02/09/2017 | Claimant(s): Joe Poteat Claimant Lawyers(s): Neil A. Riemann Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Louis F. Mendez Arbitrator(s): Leonard E. Benade, Lynne T. Albert, James Risen Gard Hearing Site: Charlotte, NC
| | $0 |