| 21-00602 | 07/03/2023 | Claimant(s): Charlotte Baldwin, Rand Baldwin
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Martin Pospicil, Raymond James Financial Services.
Respondent Lawyers(s): Jordan D. Maglich, Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, Jon E Lewis, DeShannon McDonald
Hearing Site: Birmingham, AL
|  | Expungement |
| 19-02624 | 03/09/2023 | Claimant(s): Forrest Sweat, Susan Sweat, Forrest W. Sweat Jr SEP-IRA, Forrest W. Sweat Jr. Roth IRA, Forrest w. Sweat, Jr. Traditional IRA, Susan D Sweat Roth IRA, Susan D. Sweat Traditional IRA, Susan/Forrrest Sweat JROS WOD
Claimant Lawyers(s): Charles M Dalziel
Respondent(s): Anthony Mesquit, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, J.G. Long, William L. Rittenberg
Hearing Site: Atlanta, GA
| | $0 |
| 21-00097 | 07/25/2022 | Claimant(s): Shawn Waked, Theresa Stone, Maestro Global
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Raymond James Financial Services., Securities America., Jane Terry, Kathleen Kerr, Kirk Bell, Timothy Rivera
Respondent Lawyers(s): Gregory M. Curley, Peter S. Fruin, Scott C. Matasar
Arbitrator(s): Helen Marinak Blohm, Gene R Thornton, Jonathan H. Krotinger
Hearing Site: Albuquerque, NM
| | |
| 21-02020 | 07/18/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mitchell Oldewurtel
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Deana S. Peck, Daniel Baruch Lidawer, David F. Sargent
Hearing Site: Phoenix, AZ
| | |
| 21-00526 | 06/09/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Andrew Stout, Andrew Waldbaum, Christopher Horner, Kenneth Robbins, Lisa Detanna, Michelle Moore, Raymond James Trust, N.A.
Respondent Lawyers(s): Hayden Adams, Peter S. Fruin
Arbitrator(s): Robert D. Sussin, George Herman Frisch, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | |
| 18-04310 | 04/21/2022 | Claimant(s): Judith Cambron
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Christopher Hibbard, Raymond, James & Associates., Patrick Strehl
Respondent Lawyers(s): Christopher Lee Hibbard, Peter S. Fruin
Arbitrator(s): John R. Michael, Linda W. Hester, Robert David Epstein
Hearing Site: Louisville, KY
| | Expungement |
| 20-03921 | 03/25/2022 | Claimant(s): Nicholas Packer, Hove Investments Holding Limited
Claimant Lawyers(s): Brendan J. O'Rourke
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Eugene G. P. Byrne, Nicholas M. Herubin, Samuel Philip Gunther
Hearing Site: New York, NY
| | Expungement |
| 21-02191 | 02/04/2022 | Claimant(s): Steven Ward
Claimant Lawyers(s): Steven B. Ward
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
| | $300 |
| 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
| | |
| 19-02088 | 05/13/2021 | Claimant(s): Eugenia Fidalgo Gutierrez, Mercedes Fidalgo Gutierrez, Fidalgo Gutierrez Holding Corp.
Claimant Lawyers(s): Francisco A. Feliu Nigaglioni
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Peter S. Fruin, Roberto C. Quinones
Arbitrator(s): Marni E. Byrum, Dwayne E. Clark, William D. Goren
Hearing Site: San Juan, PR
| | $4,806,610 |
