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FINRA Awards for Duane Ariel Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0370912/08/2015Claimant(s): Carolyn McCool, Joshua Nehring
Claimant Lawyers(s): William R. Fishman
Respondent(s): Stifel, Nicolaus & Co.., Duane Smith
Respondent Lawyers(s): Duane Ariel Smith, James C. Browning
Arbitrator(s): James Patrick Beck, Ronald G. Guida, Bruce J. Pederson
Hearing Site: Denver, CO
Checkmark IconExpungement

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