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FINRA Awards for Dennis Markham Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0167003/03/2021Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Mildred Patubo
Respondent Lawyers(s): Benjamin Winograd
Arbitrator(s): Dennis Markham Smith, Alden Sharp Adkins, Eduardo Barocio
Hearing Site: San Francisco, CA
10-0162211/10/2011Claimant(s): Donald Wilson
Claimant Lawyers(s): Kirk B. Freeman
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Jane Bradley, David J. Romanski, Dennis Markham Smith
Hearing Site: San Francisco, CA

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