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FINRA Awards for David F. Schmitz

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0070105/31/2016Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
14-0100908/07/2015Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Paul Schmidt, SII Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson
Hearing Site: Minneapolis, MN
Checkmark Icon$72,048

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