| 22-01745 | 02/02/2023 | Claimant(s): John Smith
Claimant Lawyers(s): John Lee Smith
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Paul Lansing, Gregory Hunter Mathews, James Douglas Wilbanks
Hearing Site: Louisville, KY
| | |
| 21-01678 | 11/19/2021 | Claimant(s): John Smith
Claimant Lawyers(s): John E. Smith
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Michael J. Meeusen
Hearing Site: Louisville, KY
|  | $0 |
| 16-00514 | 02/15/2018 | Claimant(s): Jason Wright, Lenoir Wright
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Frank Fusco, John Smith, Jonathan Miller, Salvatore Caruso, Legend Securities.
Respondent Lawyers(s): Frank Phillip Fusco, John Victor Smith, Jonathan J. Miller, Salvatore Charles Caruso, Salvatore Caruso
Arbitrator(s): Richard W. Cutler, Ellyn S. Roth, George Bartos
Hearing Site: New York, NY
| | $181,970 |
| 12-03710 | 07/29/2013 | Claimant(s): John Smith
Claimant Lawyers(s): John Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Herbert Branitsky, Ellen J. Abrams, Stephen R. Facella
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-00014 | 10/05/2012 | Claimant(s): Derek Cherne, Randall Green
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): David Domaas, John Smith, Brook West Profit Sharing Plan
Respondent Lawyers(s): Brook West Profit Sharing Plan, David Domaas, John Smith
Arbitrator(s): Lawrence J. Welte, Andrew R. Dick, Alain Frecon
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-03084 | 11/11/2011 | Claimant(s): Carolyn Smith, John Smith, Sr. (Annuity), Carolyn K. Smith IRA, John Edward Smith, Sr. IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Alison Hardage, Muriel Desloovere, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $55,861 |
| 06-04383 | 02/12/2008 | Claimant(s): John Smith
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): John F. Fullerton
Arbitrator(s): Thomas E. Haviland, Ronald A. Sirt, Jerome Arthur Connolly
Hearing Site: Chicago, IL
| | |
