| 21-02663 | 07/20/2022 | Claimant(s): Daniel Mercer
Claimant Lawyers(s): Daniel Aaron Mercer
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Stephen T. Johnson, Brian James Tagtmeier, Katherine Parsley
Hearing Site: Houston, TX
| | |
| 21-00086 | 05/31/2022 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Justin Lowe, Avenir Private Advisors
Respondent Lawyers(s): Justin Peter Lowe
Arbitrator(s): Will Murphy, Daniel Joseph Chiodo, Doug Campbell
Hearing Site: Boca Raton, FL
| | |
| 21-02148 | 03/02/2022 | Claimant(s): Lisa Hanline
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 21-01553 | 02/07/2022 | Claimant(s): Justin Vaccaro
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Elwood C. Avery
Hearing Site: Portland, OR
| | |
| 21-01416 | 01/06/2022 | Claimant(s): Justin Vaccaro
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Joseph C. Roberts
Hearing Site: Portland, OR
| | |
| 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
| | |
| 21-00527 | 10/29/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mark Boucher
Respondent Lawyers(s): Mark Joseph Boucher
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | |
| 19-03052 | 10/26/2021 | Claimant(s): Marie Mesmer
Claimant Lawyers(s): Tiega Varlack
Respondent(s): Raymond James Financial Services., Ka Ki Leung
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese, William W. Haskell, David I. Levine
Hearing Site: San Francisco, CA
|  | $0 |
| 20-01759 | 08/31/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): George Guerra
Respondent(s): Amy Zwaan
Respondent Lawyers(s): James H. Wilkins
Arbitrator(s): Andrew R. Epstein, Lester Friedman, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 19-02688 | 08/12/2021 | Claimant(s): Deborah Koch, Kenneth Koch, Deborah J. Koch Roth IRA, Kenneth Koch II IRA, Kenneth Koch II Roth IRA, Koch Holdings LLLP
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Raymond James Financial Services., Monica Baldwin
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Marilyn R. Lewis, Deanna M. Tuley, Julia Yael Ramos
Hearing Site: Cheyenne, WY
| | $165,000 |
