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FINRA Awards for David F. Schmitz

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0070105/31/2016Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$0
14-0100908/07/2015Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Paul Schmidt, SII Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson
Hearing Site: Minneapolis, MN
Checkmark Icon$72,048
10-0507002/25/2013Claimant(s): Chad Wolsmann, Daniel Wood
Claimant Lawyers(s): Aaron R. Thom
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): John C. DeMoss, David F. Schmitz, Frank Edward Hermann
Hearing Site: Minneapolis, MN
12-0004001/04/2013Claimant(s): Paul Alegi
Claimant Lawyers(s): Gregory R. Piche
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Nikole L. Canute
Arbitrator(s): Andrew R. Dick, Jeffrey A. Schuh, David F. Schmitz
Hearing Site: Minneapolis, MN

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