FINRA Awards for First Allied Advisory Services.

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-00524	03/24/2023	Claimant(s): Tyron Smith Claimant Lawyers(s): Susan J. Foster Respondent(s): William Saplicki, First Allied Advisory Services., First Allied Securities. Respondent Lawyers(s): John P. Kincade Arbitrator(s): Frances Johnson Wright, Joseph A. Vicario, Ye Whei Peter Chen Hearing Site: Dallas, TX		Expungement
17-03439	01/18/2019	Claimant(s): Mike Snow, Nita Snow Claimant Lawyers(s): Niel Prosser Respondent(s): Larry Boggs, American Retirement Solutions of Louisia, First Allied Advisory Services., First Allied Securities. Respondent Lawyers(s): Mickey B. Wright Arbitrator(s): Denise Morris Hammond, Irwin Venick, James Raybeck Hearing Site: Nashville, TN		$1,488,750