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FINRA Awards for Joseph Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0054310/14/2022Claimant(s): Joseph Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
19-0076408/16/2019Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Bruce M. Lewitas
Respondent(s): Joseph Smith
Respondent Lawyers(s): Joseph Smith
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ

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