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FINRA Awards for Jude A Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0016111/09/2021Claimant(s): Carol Avery, Robert Avery
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Sherry R. Wetsch, Jude A Smith, Mark Ritchie
Hearing Site: Houston, TX
Checkmark Icon$51,375
16-0339003/26/2018Claimant(s): Kathryn Childress Irrevocable Trust
Claimant Lawyers(s): Shari P. Pulman
Respondent(s): Scottrade Inc., Clyde Jones
Respondent Lawyers(s): Clyde Mick Jones, Niels P. Murphy
Arbitrator(s): Mary Esther Escobedo, James Wallace Boeckman, Jude A Smith
Hearing Site: Houston, TX
Checkmark Icon$905,000

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