| 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
| | |
| 20-00988 | 10/30/2020 | Claimant(s): Gregory Smith
Claimant Lawyers(s): Elaine Rice
Respondent(s): Edward Jones
Respondent Lawyers(s): Annie Zaffuto
Arbitrator(s): Suzanne E. Reynolds-Brady, Maurice M. Feller, Mitchel Weiss
Hearing Site: Jacksonville, FL
| | |
| 10-05492 | 02/29/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): David Mikula, Morgan Stanley
Respondent Lawyers(s): James L. Sonneborn, Phillip J. Campisi
Arbitrator(s): Suzanne E. Reynolds-Brady, Robert S. Getman, Michael A. Orticelle
Hearing Site: Albany, NY
| | |
| 10-03612 | 09/02/2011 | Claimant(s): Ronald Tranquillo
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Stephen T. Rodriguez, Suzanne E. Reynolds-Brady, Stuart M. Schwartz
Hearing Site: Albany, NY
|  | $65,642 |
| 07-01679 | 02/05/2009 | Claimant(s): Daniel Day
Claimant Lawyers(s): K. Michael Swann
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Stan West, Suzanne E. Reynolds-Brady, Thomas K. Goldie
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
