FINRA Awards for Robert B. Schmidt

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03144	08/13/2013	Claimant(s): Zhi Poon Claimant Lawyers(s): Zhi C. Poon Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Franklin P. Chapman, Robert B. Schmidt, Steven David Leader Hearing Site: New York, NY
09-01691	01/27/2011	Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Ronald P. Kane Respondent(s): James Dingle Respondent Lawyers(s): Alan Block Arbitrator(s): Robert B. Schmidt, Richard J. Belmonte, Stephen M. Slavin Hearing Site: Chicago, IL
09-00550	11/11/2009	Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Ronald P. Kane Respondent(s): William Stroup Respondent Lawyers(s): William Clayton Stroup Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman Hearing Site: Chicago, IL
08-00792	06/08/2009	Claimant(s): John Ingels Claimant Lawyers(s): John A. Dienner Respondent(s): Margaret Adams, DWS Scudder Distributors. Respondent Lawyers(s): William F. Dugan Arbitrator(s): John N. Chapin, Lawrence Tepper, Robert B. Schmidt Hearing Site: Chicago, IL