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FINRA Awards for Kirk Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0226803/09/2016Claimant(s): Charles Dyer
Claimant Lawyers(s): Robert G. McIver
Respondent(s): James Brown, Kirk Smith, Raymond James Financial Services.
Respondent Lawyers(s): Kenneth W. McAllister, Robert M. Rudnicki
Arbitrator(s): Charles S. Clayton, Richard E. Miley, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
14-0244407/27/2015Claimant(s): Robert Pierson
Claimant Lawyers(s): James C. Cosby
Respondent(s): Don Davis
Respondent Lawyers(s): Kirk Smith
Arbitrator(s): Douglas Earl McLaren, Overman Randolph Rollins, Alison Wright Feehan
Hearing Site: Richmond, VA
Expungement

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