FINRA Awards for Jane A. Smith

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-02570	05/09/2017	Claimant(s): Mariann Miller Claimant Lawyers(s): Mariann Brand Miller Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Brandy Pikus Arbitrator(s): Jane A. Smith Hearing Site: Washington, DC
14-00249	03/04/2016	Claimant(s): McDermott Investment Services Claimant Lawyers(s): Barry S. Gold Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche Hearing Site: Washington, DC
14-01099	04/08/2015	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): David J. Sensenig Respondent(s): Douglas Gill Respondent Lawyers(s): Douglas Joseph Gill Arbitrator(s): Jane A. Smith Hearing Site: Washington, DC
12-02014	05/06/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan Brodherson Respondent(s): Dale Ireland Respondent Lawyers(s): William L. Haugh Arbitrator(s): Carole Rollinson, Kathryn Ellen McDonnell, Jane A. Smith Hearing Site: Washington, DC