| 23-00202 | 09/13/2023 | Claimant(s): Ryan Wold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 22-00949 | 08/07/2023 | Claimant(s): Sean Caplen
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 22-02369 | 07/10/2023 | Claimant(s): Christopher Hagen
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 22-02421 | 06/20/2023 | Claimant(s): Paolo Thompson
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Leslie Bernard Jallans, Lynne M. Gomez, Montie G. Grimes
Hearing Site: Houston, TX
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| 22-02297 | 06/01/2023 | Claimant(s): Charles Failla
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond, James & Associates., R.D. White & Co..
Respondent Lawyers(s): Gianluca Morello, Louis Pagano
Arbitrator(s): Michael H DuBoff, Jay Alan Kranis, Joanne Basso Mack
Hearing Site: New York, NY
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| 22-01704 | 05/08/2023 | Claimant(s): Cary Kleinfield
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 21-02318 | 04/18/2023 | Claimant(s): Raymond, James & Associates., Michael Kuras, Patrick Marsh, Raymond James Financial.
Claimant Lawyers(s): Robert J. Becher
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Brian R. Cohen, James M. Rhodes, Paul C. Tang
Hearing Site: New York, NY
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| 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 |
| 20-02226 | 01/27/2023 | Claimant(s): Matthew Stucke
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Gia B. Compton, Mitchel Weiss, Susan Warshauer Kennicott
Hearing Site: Atlanta, GA
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| 22-01402 | 12/20/2022 | Claimant(s): Damien Bertucelli
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Karimu F. Hill-Harvey, Richard R. Logsdon, Roger G. Young
Hearing Site: Tampa, FL
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