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FINRA Awards for Richard Carl Smukler

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0226801/05/2024Claimant(s): Tamir Zury
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Gary M. Landau, Richard Carl Smukler, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
22-0005203/13/2023Claimant(s): Richard Ringel
Claimant Lawyers(s): Richard Ringel
Respondent(s): Michael Haupt, Randy Beller, Tradezero America.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Richard Carl Smukler, Mark A. Jacoby, Leonard Marc Levenson
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
21-0029807/30/2021Claimant(s): Sandra Greenberg
Claimant Lawyers(s): Peter M. Spett
Respondent(s): William Friedman
Respondent Lawyers(s): William Sideny Friedman
Arbitrator(s): Richard Carl Smukler
Hearing Site: Boca Raton, FL
Checkmark Icon$250,300
18-0430507/27/2021Claimant(s): Acacia Noguera, Emporio Blue LTD
Claimant Lawyers(s): Acacia Noguera
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Christopher J. Klein, Richard Carl Smukler, Michael Greene
Hearing Site: Miami, FL
Checkmark Icon$0
19-0153503/12/2021Claimant(s): James W. Johnston, as Trustee of the
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): James W. Geiger, Richard Carl Smukler, Thomas Richard Blake
Hearing Site: Boca Raton, FL
Checkmark Icon$0
18-0223512/21/2020Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
Checkmark IconSettlement
19-0025803/05/2020Claimant(s): Patricia J. Wilson Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Karl Foust
Respondent Lawyers(s): Karl Ronald Foust
Arbitrator(s): Todd M. Saunders, Richard Carl Smukler, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
Checkmark Icon$200,000
18-0365212/18/2019Claimant(s): Ivanna Freddi, Juan Freddi, Monica Kuclik, Rosario Freddi
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Richard Carl Smukler, Virginia Lee Perez, Michael B Goldstein
Hearing Site: Miami, FL
Checkmark Icon$0
16-0065803/28/2018Claimant(s): Richard Levine
Claimant Lawyers(s): Adam Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Michael J. Quarequio, Richard Carl Smukler, John B. Sochacki
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
15-0117303/01/2018Claimant(s): Dora De Cortes, Ignacio Gelpi, Copesa., Gran Almirante.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vincente
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Linette Figueroa-Torres
Arbitrator(s): Andrea U. Calve, Richard Carl Smukler, James Howell Garrison
Hearing Site: San Juan, PR
Checkmark IconExpungement

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