| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
|  | Dismissed by Rule 12206 |
| 14-02268 | 03/09/2016 | Claimant(s): Charles Dyer
Claimant Lawyers(s): Robert G. McIver
Respondent(s): James Brown, Kirk Smith, Raymond James Financial Services.
Respondent Lawyers(s): Kenneth W. McAllister, Robert M. Rudnicki
Arbitrator(s): Charles S. Clayton, Richard E. Miley, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | |
| 14-02444 | 07/27/2015 | Claimant(s): Robert Pierson
Claimant Lawyers(s): James C. Cosby
Respondent(s): Don Davis
Respondent Lawyers(s): Kirk Smith
Arbitrator(s): Douglas Earl McLaren, Overman Randolph Rollins, Alison Wright Feehan
Hearing Site: Richmond, VA
| | Expungement |
| 11-04655 | 11/13/2014 | Claimant(s): CDC TIC 21, Warren Family Trust
Claimant Lawyers(s): Kirk Smith
Respondent(s): Toni Sutherland
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Laurel Littman Gothelf, Robert H. Cornell, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01404 | 11/15/2013 | Claimant(s): Sharon Gardner-Howder, Sharon E. Gardner-Howder IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
