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FINRA Awards for Annamaria Boccia Smith

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Displaying 10 out of 29 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0297707/11/2023Claimant(s): Linda O'Connor
Claimant Lawyers(s): Linda O'Connor
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Ronald Citron, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12504
20-0390405/30/2023Claimant(s): Mona Petrocine
Claimant Lawyers(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services., Marlene Yacenda
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Paul J. Camilleri, Annamaria Boccia Smith, William A. Rome
Hearing Site: New York, NY
Checkmark Icon$0
19-0139212/12/2022Claimant(s): Jeffrey Cohen
Claimant Lawyers(s): David A. Schrader
Respondent(s): Wells Fargo Advisors Financial Network, Philip Pappas, Steven Dichter
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith, John Herbert Grefe, John Warner Lowe
Hearing Site: New York, NY
Checkmark Icon$0
22-0104410/13/2022Claimant(s): Maxine Kovalkoski, Paul Kovalkoski
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
Checkmark IconExpungement
17-0326506/03/2022Claimant(s): Dwight Rose, Nancy Rose
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Kevin Houser, Houser & Plessl Wealth Management Group,
Respondent Lawyers(s): Michael S. Taafee
Arbitrator(s): Annamaria Boccia Smith, Sirena Terr, Charlane Brown
Hearing Site: New York, NY
Checkmark IconExpungement
21-0039301/07/2022Claimant(s): John Mustillo
Claimant Lawyers(s): Michael Hill
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
Checkmark IconExpungement
20-0316811/23/2021Claimant(s): Angela Dugan, Anthony Ghibesi, The Estate of Ralph Ghibesi, Angela Dugan IRA, Anthony Ghibesi IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
Checkmark IconExpungement
19-0373808/30/2021Claimant(s): Evan K. Halperin Revocable Living Trust
Claimant Lawyers(s): Barry A. Furman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio Beugelmans
Arbitrator(s): William G. Binckes, Annamaria Boccia Smith, Hashim Ghadiali
Hearing Site: New York, NY
Checkmark Icon$0
19-0080405/15/2020Claimant(s): Sheryl Starr, Helen Schlesinger Trust
Claimant Lawyers(s): Jason Albin
Respondent(s): Charles Botchway, Paul McIntyre, Robert Fehrman, MSC - BD
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Michael H DuBoff, Annamaria Boccia Smith
Hearing Site: Newark, NJ
Checkmark Icon$0
18-0044911/08/2019Claimant(s): Isabel Katzin IRA, Richard Katzin IRA, Richard & Isabel Katzin
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Wells Fargo Clearing Services, Robert Greene
Respondent Lawyers(s): Demian Betz
Arbitrator(s): Annamaria Boccia Smith, Arthur M. Schoenberger, Kent L. Benziger
Hearing Site: New York, NY
Checkmark Icon$0

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