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FINRA Awards for David S. Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0229011/11/2015Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David G. Russell
Respondent(s): Andrew Leventhal
Respondent Lawyers(s): David S. Smith
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
11-0209806/12/2012Claimant(s): Williams Trading LLC
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Christopher Murphy, Jeremy Weemhoff, Mark Janssens, Access Securities
Respondent Lawyers(s): David S. Smith, John P. Barry
Arbitrator(s): Irene C. Warshauer, Joan Marie Chiusano, Gregory J. Getz
Hearing Site: New York, NY

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