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FINRA Awards for Mary Lee Darby Revocable Trust

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0266604/16/2018Claimant(s): Mary Lee Darby Revocable Trust
Claimant Lawyers(s): Allisaon S. Ficken
Respondent(s): William Smith, Sterne Agee Financial Services.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Robert N. Leitch, Jay A Kaplan, Larry Kenneth Lott
Hearing Site: Atlanta, GA
Checkmark IconExpungement

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