FINRA Awards for David Smitham

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-01103	08/01/2023	Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan Claimant Lawyers(s): Sanford Mitchell Passman Respondent(s): Herbert Messick, Cetera Advisor Networks LLC Respondent Lawyers(s): David Smitham Arbitrator(s): Steven H. Gentry Hearing Site: Los Angeles, CA		Expungement
17-00580	03/22/2018	Claimant(s): Mae Nauheim, Mae Nauheim Restated Decl Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Summit Brokerage Services. Respondent Lawyers(s): David Smitham Arbitrator(s): Perry Earl Phillips Hearing Site: Boca Raton, FL		Expungement
15-03089	01/12/2017	Claimant(s): Robert Francis Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Legend Equities Corporation Respondent Lawyers(s): David Smitham Arbitrator(s): Jay Lawrence Witkin Hearing Site: Phoenix, AZ		Expungement
08-02926	09/15/2010	Claimant(s): Ward Waldman Real Estate Services, Aaron E. Waldman and Patricia Waldman Claimant Lawyers(s): Aaron Everett Waldman, Patricia Ward Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David Smitham Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Arnold Levine Hearing Site: Boca Raton, FL		$300