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FINRA Awards for Annamaria Boccia Smith

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Displaying 10 out of 61 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0276204/29/2024Claimant(s): Jeffrey Hill
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
23-0304004/18/2024Claimant(s): Michael Depasquale
Claimant Lawyers(s): James P. Galvin
Respondent(s): M Holdings Securities., Nationwide Securities
Respondent Lawyers(s): Daniela Paez, Jason D. Christian
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
23-0277304/09/2024Claimant(s): Peter Pavlakis
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg M. Scanlon
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
23-0105602/14/2024Claimant(s): John Lahoud
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Laura A. Pizzitola
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
23-0050102/12/2024Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Gary Demetri
Respondent Lawyers(s): Gary P. Demetri
Arbitrator(s): Annamaria Boccia Smith, Veronica Ann Williams, Marguerite Daniels
Hearing Site: New York, NY
23-0037702/07/2024Claimant(s): Thomas Stappas
Claimant Lawyers(s): Thomas Stappas
Respondent(s): Summit Equities.
Respondent Lawyers(s): Patricia Baker
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
23-0054901/25/2024Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Veera V. Konka, Annamaria Boccia Smith, Lisa Lograno
Hearing Site: New York, NY
23-0205901/25/2024Claimant(s): Edward Anselmin
Claimant Lawyers(s): Edward F. Anselmin
Respondent(s): Quest Capital Strategies.
Respondent Lawyers(s): Carolyne Tsai
Arbitrator(s): Annamaria Boccia Smith, Carol Maria Luttati, Lawrence A Spallanzani
Hearing Site: Jersey City, NJ
23-0149001/24/2024Claimant(s): Joseph Bauer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Amanda L. Parisi
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
22-0247706/02/2023Claimant(s): David Morgan
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Annamaria Boccia Smith, Maria Barry, John Lawniczak
Hearing Site: New York, NY

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