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FINRA Awards for William M. Schmitt

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0063203/24/2022Claimant(s): Andrew Pravlik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prospera Financial Services.
Respondent Lawyers(s): William M. Schmitt
Arbitrator(s): Mark A. Sipper
Hearing Site: Pittsburgh, PA
18-0232007/02/2019Claimant(s): Peter Covino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, VSR Financial Services., Prospera Financial Services.
Respondent Lawyers(s): Brian Harlan, Jeremy Carr, William M. Schmitt
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Boise, ID
11-0362403/21/2013Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William M. Schmitt
Respondent(s): Wayne Altman
Respondent Lawyers(s): Wayne T. Altman
Arbitrator(s): George E. Bouse, Alfred Brunette, Robert S. Anderson
Hearing Site: Tampa, FL
11-0390402/11/2013Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William M. Schmitt
Respondent(s): William Lane
Respondent Lawyers(s): Kim Mark Minix
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
11-0390203/07/2012Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William M. Schmitt
Respondent(s): Keith Freeman
Respondent Lawyers(s): Keith H. Freeman
Arbitrator(s): Alan A. Sachs
Hearing Site: Little Rock, AR

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