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FINRA Awards for Raymond James Financial Services.

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Displaying 121-130 out of 193 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0473611/06/2014Claimant(s):
Claimant Lawyers(s):
Respondent(s): Charles Meade, Frank Gavel, Raymond James Financial Services., Nutmeg Investment Group
Respondent Lawyers(s): David A. Gehn, Thomas J. Finn
Arbitrator(s): Lewis S. Kurlantzick, Marissa A. Santangelo, Stewart F. Kleinman
Hearing Site: Hartford, CT
13-0007010/27/2014Claimant(s): Allen Pilnick
Claimant Lawyers(s): Allen A. Pilnick
Respondent(s): Joel Orris, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Steven Gerard Goerke, John H. Claudy, Allen Robin
Hearing Site: Boca Raton, FL
Checkmark Icon$0
14-0207809/11/2014Claimant(s): Stephen Wormeli
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
12-0346004/24/2014Claimant(s): Wilma C. Lilley Trust
Claimant Lawyers(s): Charles T. Riehl
Respondent(s): Lewis Lilley, Raymond James Financial Services., Timothy Herling, Creative Wealth Management
Respondent Lawyers(s): Kelli Hartsook, Patrick Dichiro, The Company President
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
Checkmark IconExpungement
12-0292403/27/2014Claimant(s): Ruth Saldanha
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Raymond James Financial Services., Todd Dudley
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): Charles D. Underwood
Hearing Site: Charleston, WV
Checkmark IconExpungement
09-0288003/21/2014Claimant(s): A. Tyslan, Gloria Tyslan, U/T/A Dated June 2, 1966, U/T/A Dated September 21, 1992
Claimant Lawyers(s): Stephen M. Ryan
Respondent(s): Raymond James Financial Services., Richard Bone, Harbor Financial Services, Viking Asset Management.
Respondent Lawyers(s): Kelli Hartsook, Steven E. Mellen, The Company President
Arbitrator(s): Barry Goldman, William C. Alsover, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
Checkmark Icon$0
13-0209703/13/2014Claimant(s): Carol Barnes
Claimant Lawyers(s): Scott Eichhorn
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Henry A. Stiles
Arbitrator(s): Russell W. Merriman
Hearing Site: Tampa, FL
Checkmark Icon$14,050
10-0514602/24/2014Claimant(s): Brian Benoit
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Alan Chepenik, David Benoit, Raymond James Financial Services., Richard Benoit, Benoit, Chepenik & Benoit P.A.
Respondent Lawyers(s): David A. Gehn, Richard Benoit, Robert M. Rudnicki
Arbitrator(s): Terry G. Cleaves, Dwayne E. Clark, Charles W. Lavender
Hearing Site: Boca Raton, FL
12-0352402/03/2014Claimant(s): Ian James
Claimant Lawyers(s): Randall C. Place
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): Donald K. Eckhardt, James Francis Donovan, Richard Devlin Roussel
Hearing Site: New Orleans, LA
12-0175501/30/2014Claimant(s): James Robertson
Claimant Lawyers(s): Mike Aduddell
Respondent(s): James Fulp, Jamie Kosharek, John Houston, Leslie Reese, Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan, Michael Y. Lin
Arbitrator(s): Donald K. Eckhardt, Robert Dan Sherrill, Joseph Anthony Slechta
Hearing Site: Houston, TX

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