| 23-02952 | 05/09/2024 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-01316 | 01/13/2023 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 20-02064 | 03/08/2021 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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| 19-01511 | 10/14/2020 | Claimant(s): Charlotte Chase
Claimant Lawyers(s): John M. Petrisek
Respondent(s): David Smith, Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): Eric J. Purchase, G. Clinton Kelley
Arbitrator(s): Robert J. Scafuri, Kenneth Alan Eisner, Peter Vincent Marcoline
Hearing Site: Pittsburgh, PA
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| 19-03458 | 05/15/2020 | Claimant(s): David Smith
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
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| 10-01885 | 06/10/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): David Smith
Respondent(s): Richard Lewie
Respondent Lawyers(s): Richard K. Lewie
Arbitrator(s): Mark A. Myers
Hearing Site: Dallas, TX
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| 08-00520 | 02/06/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David Smith
Respondent(s): Vincent Monaco
Respondent Lawyers(s): Vincent M. Monaco
Arbitrator(s): Gerald A. Guild, J. Kenneth Lyons, Richard V. Adams
Hearing Site: Newark, NJ
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| 07-02381 | 09/26/2008 | Claimant(s): Raymond Filorimo
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): David Smith, Robert Copus, Intervest International Equities
Respondent Lawyers(s): Melissa D. Hubbard
Arbitrator(s): G. Robert Abrams, Ilisa J. Smukler, Ken Tapman
Hearing Site: Boca Raton, FL
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| 06-04325 | 02/06/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Greg Simon
Respondent(s): David Smith
Respondent Lawyers(s): Jessica Block
Arbitrator(s): Stephen M. Acerra, Zenon Charles Tencza, Jacqueline Marie Pierre
Hearing Site: Boston, MA
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