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FINRA Awards for Charles Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0029410/08/2019Claimant(s): Charles Smith
Claimant Lawyers(s): Michael O'Gara
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
19-0029610/07/2019Claimant(s): Charles Smith
Claimant Lawyers(s): Michael O'Gara
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): C. Sumpter Logan
Hearing Site: Oklahoma City, OK
08-0383412/10/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bradley Stipp
Respondent Lawyers(s): Fred B. Monroe
Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach
Hearing Site: Charlotte, NC

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