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FINRA Awards for William E. Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0278210/13/2010Claimant(s): Michelle Ford
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Mark Dubel, Affinity Federal Credit Union, Affinity Financial Services, Affinity Investment Services
Respondent Lawyers(s): Mark S. Mancher
Arbitrator(s): William E. Smith, Nathan J. Minucci, Sharon A. McCloskey
Hearing Site: Newark, NJ
08-0402007/10/2009Claimant(s): James Manfredonia
Claimant Lawyers(s): Brian S. Kaplan
Respondent(s): Ernest Dahlman, Simon Rose, Dahlman Rose & Company
Respondent Lawyers(s): Errol F. Margolin
Arbitrator(s): William E. Smith, Abraham Harry Bunis, Walter W. Jensen
Hearing Site: New York, NY

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