| 21-00779 | 12/23/2021 | Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | |
| 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
| | |
| 21-00383 | 08/20/2021 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Sean Martin
Respondent Lawyers(s): Sean Rierson Martin
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
| | |
| 20-04155 | 08/18/2021 | Claimant(s): Christopher McDonagh, Daniel Bauers, Theodore McDonagh
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
| 21-01025 | 08/09/2021 | Claimant(s): James Garner
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Paul M. Foster, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Little Rock, AR
| | |
| 21-00541 | 06/03/2021 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Jennah Clark
Respondent Lawyers(s): Jennah Real Clark
Arbitrator(s): Michael S. Yauch
Hearing Site: Oklahoma City, OK
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| 20-01842 | 03/25/2021 | Claimant(s): Jeffrey Pratt
Claimant Lawyers(s): Zachary T Hayes-Macaluso
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
| | |
| 20-02629 | 03/25/2021 | Claimant(s): James Aughenbaugh
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): William A. Fynes
Hearing Site: Dallas, TX
| | |
| 20-02408 | 03/11/2021 | Claimant(s): GEORGE EWINS, RICHARD KOWALSKI
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
| | |
| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
|  | Expungement |
