FINRA Awards for Janet N. Smiles

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03975	04/23/2014	Claimant(s): Barbara Unger, Barbara J. Unger Rev. Trust dtd 12/20/02 Claimant Lawyers(s): Marc S. Dobin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Keith Olin Arbitrator(s): Janet N. Smiles, Stuart Harvey Ziegler, David Rich Hearing Site: Boca Raton, FL		Expungement
10-03425	02/14/2012	Claimant(s): Francis Hempfling Claimant Lawyers(s): Layne Verebay Respondent(s): Wachovia Securities, Eric Nilson Respondent Lawyers(s): Sara Soto Arbitrator(s): Seth L. Finkel, Janet N. Smiles, Sydney E. Blum Hearing Site: Ft. Lauderdale, FL		Expungement
09-00840	02/16/2010	Claimant(s): John V.L. Parry & Susan M. Parry JTWROS, The Concetta V. Fearn Trust, The John & Susan Parry CR Trust Claimant Lawyers(s): John V.L. Parry Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Jernigan Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Janet N. Smiles, Marie G. Peterson, Carolyn E. Moore Hearing Site: Boca Raton, FL		$588