FINRA Awards for Paul Smith Besson

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03811	12/22/2021	Claimant(s): Matthew Soja, Sharon Soja Claimant Lawyers(s): Howard M. Rosenfield Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities. Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson Hearing Site: Hartford, CT		Dismissed by Rule 12206
19-00433	02/25/2020	Claimant(s): Barbara Dierolf, Margaret Ragozzino, Barbara K. Dierolf Trust, Ruth Kunin Trust Claimant Lawyers(s): Christopher J. Gray Respondent(s): Robert Delbuono, Money Concepts Capital Corp Respondent Lawyers(s): Brian J. Palmeri Arbitrator(s): Sean Michael Peoples, Paul Smith Besson, Catherine M. Gallagher Hearing Site: Hartford, CT		Expungement
17-01008	04/19/2018	Claimant(s): Cat Trail Capital LLC Claimant Lawyers(s): Ira Belsky Respondent(s): Mark Martino, Axiom Capital Management. Respondent Lawyers(s): Mark J. Hyland Arbitrator(s): Paul Smith Besson, Charles W. Danis, James Rosenblum Hearing Site: Hartford, CT		$0
12-03049	09/24/2014	Claimant(s): Madeleine Perricone Claimant Lawyers(s): Madeleine Perricone Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Andrew W. Sidman Arbitrator(s): Kenneth Dymond, Paul Smith Besson, Charles W. Danis Hearing Site: Hartford, CT		Expungement