| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
|  | Expungement |
| 19-00443 | 01/21/2020 | Claimant(s): Jose Medardo Burgos F, Maria Del Carmen G Burgos, Maria Medina-Luna Anaya
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon Levy
Arbitrator(s): Jack Chapline Vaughan, William A. Allen, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 16-00188 | 04/05/2018 | Claimant(s): Francine Sorkin Segal
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Catherine Stewart, Robert E. Anderson, Veronica Ann Williams
Hearing Site: Newark, NJ
| | Expungement |
| 16-00078 | 02/09/2017 | Claimant(s): Marcia Barfield IRA, Norman J. Barfield IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): IMS Securities.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Douglas Wade Carvell, Joseph Neal Richardson, Richard Thomas Huston
Hearing Site: Dallas, TX
| | Expungement |
| 12-00738 | 03/12/2013 | Claimant(s): Constantine A. Makris and Suzanne Makris
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Edward W. Morris, Richard C. Antonelli, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Expungement |
| 10-05206 | 12/29/2011 | Claimant(s): Priscilla D. Johnson, IRA, William P. Johnson IRA, William P. Johnson & Priscilla D. Johnso
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Michael P. Anciello, Gene M. Bauer, Barry Joseph Fiske
Hearing Site: Boston, MA
| | Expungement |
| 09-01057 | 01/18/2011 | Claimant(s): Robert Micley, IRA, The Williamstown Anesthesia MPP Plan CH, The Williamstown Anesthesia MPP Plan DM, The Williamstown Anesthesia MPP Plan RM
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Bonnie Sachs, David Boutin, David Kaplan, Ralph Worthington, Robert Maley, Gilford Securities Incorporated
Respondent Lawyers(s): Thomas E. Chase
Arbitrator(s): William S. Tagerman, Deborah B. Haskell, Irene Scharf
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 08-03101 | 12/29/2009 | Claimant(s): Jean Powell
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Norair Seferian, Peter Marzo, GunnAllen Financial.
Respondent Lawyers(s): Jay Marc Israel, Norair Allain Seferian, Timothy Feil
Arbitrator(s): Joan M. Traub, Christine Costigan, Michele S. Riley
Hearing Site: New York, NY
| | Expungement |
| 08-03576 | 12/17/2009 | Claimant(s): Christine M. Dann Trust U/A DTD 10/04/06
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Gary F. Lang, Gayle B. Carlson, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
| 09-03220 | 12/09/2009 | Claimant(s): Jackal Properties LTD, Laurie & Co., Yorsipp Trustees Limited Trust FBO Alan
Claimant Lawyers(s): Kirk G. Smith
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Camille S. Cooper, Clarence Smith, Dominick T. Scianandre
Hearing Site: New York, NY
| | $0 |
