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FINRA Awards for David H. Smith

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0253305/30/2014Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Michael Penkethman
Respondent Lawyers(s): Michael Penkethman
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
11-0375210/30/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David H. Smith
Respondent(s): Michael Dicambio
Respondent Lawyers(s): Michael DiCambio
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
10-0454805/09/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): John Arquette
Respondent Lawyers(s): John Robert Arquette
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
08-0170805/24/2010Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Mark Pollack
Respondent Lawyers(s): Mark Pollack
Arbitrator(s): Jeffrey Steinberg, Nathan J. Minucci, Ernest Edward Badway
Hearing Site: Newark, NJ
09-0380602/11/2010Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Richard Walker
Respondent Lawyers(s): Richard Cameron Walker
Arbitrator(s): Paul Frederick Meyer
Hearing Site: Los Angeles, CA
06-0500212/30/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Jeffrey Myers
Respondent Lawyers(s): Jeffrey Myers
Arbitrator(s): M. Eileen Dorsey, Sandra D. Deters, Matthew R. Salamon
Hearing Site: St. Louis, MO
06-0440706/03/2009Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): David H. Smith
Respondent(s): David Bryant
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Donald T. Meder, Dorothy B. Strackbein, Robert Elman
Hearing Site: Los Angeles, CA
06-0329201/28/2009Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Robert Peck
Respondent Lawyers(s): Robert Peck
Arbitrator(s): Robert B. Kane, Nelson J. Brous, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
06-0496807/02/2008Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL

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