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FINRA Awards for Robert L. Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0080402/10/2023Claimant(s): Scott Reed
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Sanctuary Securities.
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Barry Goldman, Robert L. Smith, David E. Bailey
Hearing Site: Indianapolis, IN
07-0346601/16/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kerrie Best
Respondent Lawyers(s): Kerrie L. Best
Arbitrator(s): James Clifton Stone, Michael F. Fetsch, Robert L. Smith
Hearing Site: Indianapolis, IN

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