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FINRA Awards for Lesley G. Smith

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0071302/26/2013Claimant(s): Charles McCally, Judy McCally, Charles R. McCally Sr, IRA
Claimant Lawyers(s): Charles R McCally, Judy L McCally
Respondent(s): Optionshouse
Respondent Lawyers(s): Lesley G. Smith
Arbitrator(s): Arthur H. Geffen, Jeff Abrams, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
Checkmark Icon$0
10-0043411/16/2011Claimant(s): Southwire Company
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): First Tennessee Brokerage.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Donald M. Macdonald, David Blair Sinyard, Mohr Ernest Hill
Hearing Site: Atlanta, GA
Checkmark Icon$0
08-0314003/23/2009Claimant(s): OptionsHouse LLC
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Anietang Abia
Respondent Lawyers(s): Anietang Abia
Arbitrator(s): Robert R. Marquardt
Hearing Site: Dallas, TX
Checkmark Icon$0
08-0252003/09/2009Claimant(s): Options House.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Todd Mulliner, Crempsh.
Respondent Lawyers(s): Corporate Officer, Todd Mulliner
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Salt Lake City, UT
Checkmark Icon$0
08-0273302/26/2009Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Robert Taddeo
Respondent Lawyers(s): Robert Taddeo
Arbitrator(s): Diane Getzler
Hearing Site: Hartford, CT
Checkmark Icon$0
08-0298602/19/2009Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Gregory Colley
Respondent Lawyers(s): Gregory Colley
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark Icon$0
08-0298701/26/2009Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Karma Mulliner
Respondent Lawyers(s): Karma Mulliner
Arbitrator(s): Richard L. Merkel
Hearing Site: Salt Lake City, UT
Checkmark Icon$0
08-0250301/21/2009Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Yana Gladtskov
Respondent Lawyers(s): Yana Gladtskov
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
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