FINRA Awards for Tracey Salmon-Smith

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Displaying 11-15 out of 15 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-01416	06/01/2015	Claimant(s): Robert Armstrong Claimant Lawyers(s): William W. Allen Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): D. Bruce Shine Hearing Site: Louisville, KY
14-02976	04/02/2015	Claimant(s): Lawrence Liebers Claimant Lawyers(s): Patrick Mahoney Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Madelyn A. Levy Hearing Site: New York, NY
14-00946	03/05/2015	Claimant(s): Radion Medvedovskiy Claimant Lawyers(s): David E. Robbins Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Alexandra L. Dunaif, Anna Lascar, Emily M. Altman Hearing Site: New York, NY
12-00014	10/05/2012	Claimant(s): Derek Cherne, Randall Green Claimant Lawyers(s): Tracey Salmon-Smith Respondent(s): David Domaas, John Smith, Brook West Profit Sharing Plan Respondent Lawyers(s): Brook West Profit Sharing Plan, David Domaas, John Smith Arbitrator(s): Lawrence J. Welte, Andrew R. Dick, Alain Frecon Hearing Site: Minneapolis, MN		Expungement
07-03603	12/30/2008	Claimant(s): James Apostle Claimant Lawyers(s): Mark J. Astarita Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): John J. Lynch, Louis H. Miron, Edward W. Morris Hearing Site: Newark, NJ