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FINRA Awards for SMH Capital Inc.

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0519611/19/2010Claimant(s): Morgan Stanley
Claimant Lawyers(s): John Lutz
Respondent(s): George Garro, Jon Metzger, SMH Capital Inc.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Larry D. Hayden, Luis D. Rovira, David L. Erickson
Hearing Site: Denver, CO
08-0498205/04/2010Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Peter B. Wells
Respondent(s): Samuel Ruth
Respondent Lawyers(s): Samuel Alan Ruth
Arbitrator(s): Michele Y. Garelick, Alice J. Johnson, Donald M. Homer
Hearing Site: Boca Raton, FL
09-0311204/01/2010Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha F. McDugald
Respondent(s): John Defini
Respondent Lawyers(s): John Defini
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
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08-0051310/16/2008Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha E. McDugald
Respondent(s): Eric Edson
Respondent Lawyers(s): Eric Charles Edson
Arbitrator(s): John M. Wilkinson, George F. Longino, Robert E. Treadaway
Hearing Site: Dallas, TX

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