FINRA Awards for Dennis Markham Smith

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00898	04/25/2024	Claimant(s): Margaret van Krieken, Roeland van Krieken Claimant Lawyers(s): Marc Fitapelli Respondent(s): Morgan Stanley Respondent Lawyers(s): Theodore R. Snyder Arbitrator(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith Hearing Site: San Francisco, CA		Expungement
16-02231	12/21/2017	Claimant(s): Shawn Scheuer Claimant Lawyers(s): Thomas C. Bradley Respondent(s): Morgan Stanley, Steven Anderson Respondent Lawyers(s): John S. Worden Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Dennis Markham Smith Hearing Site: Reno, NV		$663,898
13-00296	03/10/2014	Claimant(s): Suzanne Vierra IRA, Virra Broshear Enterprises Defined Benef Claimant Lawyers(s): Charles A. Tweedy, Joseph W. Scalia Respondent(s): Gene Williams, Walnut Street Securities. Respondent Lawyers(s): Louis Castoria Arbitrator(s): Lester Friedman, James N. D'Orso, Dennis Markham Smith Hearing Site: San Francisco, CA		Expungement
05-00937	11/27/2007	Claimant(s): Li Li Claimant Lawyers(s): Li Li Respondent(s): Alex Shaw, White Pacific Securities. Respondent Lawyers(s): Robert T. Sullwold Arbitrator(s): Robin Lynn Berry, Alan P. Fraser, Dennis Markham Smith Hearing Site: San Francisco, CA		$0