FINRA Awards for David G. Smitham

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-01249	12/20/2022	Claimant(s): Stanley Cooper Claimant Lawyers(s): Denis Dice Respondent(s): Cetera Advisor Networks LLC Respondent Lawyers(s): David G. Smitham Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan Hearing Site: Philadelphia, PA
21-02803	07/15/2022	Claimant(s): First Allied Securities. Claimant Lawyers(s): David G. Smitham Respondent(s): Neil Fineman Respondent Lawyers(s): Neil S. Fineman Arbitrator(s): Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
16-03007	12/15/2017	Claimant(s): John Pitz Claimant Lawyers(s): Christopher D. Pham Respondent(s): Vestax Securities Corporation Respondent Lawyers(s): David G. Smitham Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
16-03508	08/30/2017	Claimant(s): Daniel McPherson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities America., Cetera Advisors LLC, Parkland Securities Respondent Lawyers(s): David G. Smitham, Denis C. Dice, John McClellan Arbitrator(s): Bernard F. Vail Hearing Site: Boise, ID
09-03237	08/24/2010	Claimant(s): Hilary Shane Claimant Lawyers(s): Richard M. Asche Respondent(s): First New York Securities L.L.C. Respondent Lawyers(s): David G. Smitham Arbitrator(s): Jacob Aschkenasy, James S. Hazard, Randolph Guggenheimer Hearing Site: New York, NY