FINRA Awards for Bruce Smith

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-00391	05/18/2022	Claimant(s): UBS Financial Services Inc., UBS Credit Corp. Claimant Lawyers(s): Michael F Braun Respondent(s): Bruce Smith Respondent Lawyers(s): Ashley C. Brown Arbitrator(s): George Pinckney Shingler, Judith Cochrane Loomis, Shaquana Ellison Hearing Site: Atlanta, GA
13-02854	06/15/2015	Claimant(s): James Thomas, Laurel Thomas Claimant Lawyers(s): Matthew H. Griffith Respondent(s): Bruce Smith, Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Robert Steven Haught, David A. Laughlin, John R. Storm Hearing Site: Oklahoma City, OK		$0
13-01692	11/03/2014	Claimant(s): Anita Carter, Bruce Smith, Charles Gruenwald Jr., Clyde Chisholm, Cynthia Dore, Don Landers, Fred Demarest, Gail Unglesby, George Forbes, Jason Graham, Jean Mayhall, Jerry Burris, Jessie Romig, John Wade, Jon Goeckel, Joseph Becker, Lynn Philippe, Mallory D'Amore, Mamie Baumann, Martha Witmer, et al Claimant Lawyers(s): Chuck Gordon, Crystal Burkhalter, John Grinton, Phillip Preis Respondent(s): Pershing LLC Respondent Lawyers(s): Elizabeth F. Edwards Arbitrator(s): Michele N. O'Brien, Brian P. Jakes, Mario Alberto Arteaga Hearing Site: New Orleans, LA		$10,000