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FINRA Awards for Annamaria Boccia Smith

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Displaying 11-20 out of 29 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0435208/14/2019Claimant(s): Gary Meshell
Claimant Lawyers(s): Gary B. Meshell
Respondent(s): Gary Stern, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
Checkmark IconExpungement
18-0216106/05/2019Claimant(s): Peter Calderon
Claimant Lawyers(s): Peter J. Calderon
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
Checkmark Icon$0
15-0263403/01/2019Claimant(s): Gordon Dootson
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma, Stephen Grivas
Arbitrator(s): Joseph J. Arata, David S. Billet, Annamaria Boccia Smith
Hearing Site: New York, NY
Checkmark Icon$160,153
17-0206202/11/2019Claimant(s): ING Capital Markets LLC
Claimant Lawyers(s): Joel S. Forman
Respondent(s): Terence Dolan, Benjamin & Jerold Brokerage I
Respondent Lawyers(s): Robert G. Heim
Arbitrator(s): Annamaria Boccia Smith, Stephanie Levinson Lee, Alan Robert Sacks
Hearing Site: New York, NY
Checkmark Icon$957,599
18-0125710/25/2018Claimant(s): Adolphus Bratton
Claimant Lawyers(s): Adolphus Bratton
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
Checkmark Icon$88
13-0359507/11/2018Claimant(s): EFCO Products Defined Contribution, EFCO Products Defined Contribution Union, EFCO Products Profit Sharing/401(K) Plan
Claimant Lawyers(s): Sandra P. Lanhens
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher Robertson, Richard A. Roth
Arbitrator(s): Dan Brecher, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
Checkmark Icon$0
17-0235305/16/2018Claimant(s): Frank Iosso Jr, Marie G. Iosso et al.
Claimant Lawyers(s): Frank Iosso
Respondent(s): Daniel Magier, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Robert E. Anderson, Annamaria Boccia Smith, Morton S. Bunis
Hearing Site: Newark, NJ
Checkmark IconExpungement
16-0316301/19/2018Claimant(s): Eileen Hrzich, James Hrzich
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Alice E. Winkler, Annamaria Boccia Smith, John Michael Richardson
Hearing Site: New York, NY
Checkmark Icon$0
15-0007008/04/2017Claimant(s): Estate of Margaret Riggs
Claimant Lawyers(s): Alan P. Fraade
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Advisors, Michael Tepperman
Respondent Lawyers(s): Zachary S. Knoblock
Arbitrator(s): Linda Ashley, Annamaria Boccia Smith, Louis P. Wagman
Hearing Site: New York, NY
Checkmark IconExpungement
16-0216904/20/2017Claimant(s): Carol Cohen, Martin Cohen
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Annamaria Boccia Smith, Benjamin L. Anderson, Steven Hale Zousmer
Hearing Site: New York, NY
Checkmark IconExpungement

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