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FINRA Awards for Joseph S. Simms

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0260506/03/2024Claimant(s): Natasha Jahn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Bert P. Krages
Hearing Site: Seattle, WA
22-0202509/28/2023Claimant(s): Sandra Diggs
Claimant Lawyers(s): Joseph S. Simms
Respondent(s): State Farm VP Management Corp.
Respondent Lawyers(s): Brooke D. Clarkson
Arbitrator(s): Mark L Miller, Emily J. Lewis, Matthew Harold Fields
Hearing Site: Columbus, OH
08-0497602/09/2010Claimant(s): Albert LaCava
Claimant Lawyers(s): Albert V. LaCava
Respondent(s): Bruce Dyer, John Egan, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Robert G. Conway, Marc A. Winters, John T. Meredith
Hearing Site: Cleveland, OH

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