| 10-02976 | 06/21/2011 | Claimant(s): Bernard Moskowitz
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Jack Patterson, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Bullington, Russell C. Weigel
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
|  | Expungement |
| 10-00784 | 05/27/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Chad N. Cagan
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
| | |
| 10-02162 | 05/10/2011 | Claimant(s): Hurshel & Mildred Tyler
Claimant Lawyers(s): Tracy Stoneman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Roland D. Freeman, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
| | $1,497,060 |
| 10-03654 | 01/31/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Joel Archer
Respondent Lawyers(s): Joel Earl Archer
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 10-00803 | 01/06/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Dwight Hazelwood
Respondent Lawyers(s): Dwight Hazelwood
Arbitrator(s): Keith D. Patten, Paul Mann
Hearing Site: Little Rock, AR
| | |
| 09-04932 | 11/10/2010 | Claimant(s): RSA 1 Limited Partnership
Claimant Lawyers(s): Stanley J. Thompson
Respondent(s): Duane Sturm, Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Andrew R. Dick, Mark S. Gleason, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | Auction Rate Securities related |
| 10-01080 | 10/25/2010 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Cliff Anderson
Respondent(s): John Andrews
Respondent Lawyers(s): John Andrews
Arbitrator(s): Daniel Herbert Margolis
Hearing Site: Washington, DC
| | |
| 09-03951 | 08/27/2010 | Claimant(s): David Roberts
Claimant Lawyers(s): John Sale Gordon
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan
Arbitrator(s): James Clifton Stone, Jan M. West, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $22,999 |
| 09-06746 | 07/28/2010 | Claimant(s): John Tennant
Claimant Lawyers(s): John J. Tennant
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Henry A. Stiles
Arbitrator(s): Nina Vallion
Hearing Site: Portland, OR
| | $566 |
| 09-03354 | 07/22/2010 | Claimant(s): Christina Adler-Carhart
Claimant Lawyers(s): Patrick Richmond
Respondent(s): Melanie Sweet, Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Gary F. Lang, Stuart K. Furman, Pat Anthony Mercurio
Hearing Site: Orlando, FL
| | $99,360 |
