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FINRA Awards for William James Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0155101/18/2022Claimant(s): Dwayne Tidwell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stanford Group Company
Respondent Lawyers(s): Ralph S. Janvey, Receiver, W. Preston Martin
Arbitrator(s): Lynne M. Gomez, Maurice J. Fallas, William James Smith
Hearing Site: Houston, TX
19-0255009/15/2021Claimant(s): Harriet Ferber 2012 Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Samuel Olutola Akeju, G. Dennis Sheehan, William James Smith
Hearing Site: Houston, TX
Checkmark Icon$358,131

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