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FINRA Awards for Wayne A. Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0385311/15/2016Claimant(s): Joseph Ventura, William Tell Services
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Daniel Mccarty, Richard Pombo, Steven Mannato, Steven Yezzo
Respondent Lawyers(s): Laurie Styka Bloom, Matthew D. Wagoner
Arbitrator(s): Martin Jay Siegel, Timothy A Meigher, Katherine Levitan
Hearing Site: Albany, NY
09-0124612/18/2009Claimant(s): Joseph Ventura
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Frank E. Wolf, Kenneth Dymond, Alan V. Iselin
Hearing Site: Albany, NY

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