| 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 |
| 20-01401 | 07/13/2021 | Claimant(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Claimant Lawyers(s): Robert Jamieson
Respondent(s): William Hocutt
Respondent Lawyers(s): Anne T. Freeland
Arbitrator(s): Barbara Black, Clarence H. Hampton, Howard Moss Miles
Hearing Site: Birmingham, AL
| | |
| 20-03193 | 06/21/2021 | Claimant(s): John Cassandra
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | |
| 20-02776 | 05/19/2021 | Claimant(s): Gordon Wollman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Rapid City, SD
| | |
| 20-02571 | 04/29/2021 | Claimant(s): David Van Geffen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Allan R. Lazor
Hearing Site: New Orleans, LA
| | |
| 20-03004 | 03/31/2021 | Claimant(s): Thomas Weissenburger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Frederick Ramos
Hearing Site: Des Moines, IA
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