FINRA Awards for James Smith

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-02609	11/16/2020	Claimant(s): James Smith Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Gerard S. Marsan Hearing Site: Boston, MA
13-01579	12/04/2014	Claimant(s): James Young Claimant Lawyers(s): Brian J. Neville Respondent(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marian Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer Respondent Lawyers(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marion Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Stephen A. Kohn Hearing Site: Denver, CO		Expungement
11-03379	03/18/2013	Claimant(s): J.J.B. Hilliard, W.L. Lyons Claimant Lawyers(s): Reva D. Campbell Respondent(s): Jay Otto, Jeffrey Lutz, Morgan Stanley, Tammy Kinstle Respondent Lawyers(s): Joseph B. Alonso, Salvador M. Hernandez Arbitrator(s): John B. Glueckert, Gregory P. Szuter, James Stephen Smith Hearing Site: Cincinnati, OH