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FINRA Awards for R. Lee Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0402806/08/2012Claimant(s): Susan Biles, SGB Springfield, SGB-Landmark Towers LLC, SGB-Village at Old Trace LLC
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): James Franceus, Crown Capital Securities, L.P., Summit Financial Advisors.
Respondent Lawyers(s): Tanya Durkee Urbach
Arbitrator(s): R. Lee Smith, Paul R. Meyer, Harold J. Schleef
Hearing Site: Portland, OR
Checkmark Icon$5,793
09-0114003/02/2010Claimant(s): Kenneth and Eleanor Nesting Living Trust
Claimant Lawyers(s): Jeffrey S. Salisbury
Respondent(s): Morgan Stanley & Co., Steve Pedersen, Steven McSharry
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): R. Lee Smith, Nina Vallion, William H. King
Hearing Site: Portland, OR
Checkmark Icon$235,710

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