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FINRA Awards for Scott E. Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0167603/30/2018Claimant(s): Scott Smith, Howard E. Smith, Jr. IRA, Jr. Trust U/A dtd 1993
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): John Findling, Raymond James Financial Services.
Respondent Lawyers(s): Adam Wenner
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
Checkmark Icon$0
11-0450011/20/2012Claimant(s): Leonard Kayiwa
Claimant Lawyers(s): Leonard M. Kayiwa
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Michael Nathanson, Sondra Sellars, Scott E. Smith
Hearing Site: Chicago, IL
Checkmark Icon$0

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