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FINRA Awards for Richard Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0150106/10/2024Claimant(s): Robert Bass
Claimant Lawyers(s): Edison F. Baldwin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Langfred W. White, Richard K. Smith, Alan Daniel Hall
Hearing Site: Nashville, TN
Checkmark Icon$0
14-0235508/11/2015Claimant(s): Carolyn Walker, Danny Townsend, Jackson Walker, Mack Amerson, Martha Westmoreland, Marvel Smith, Merrilynn Teixeira, Richard Smith, Estate of Joan Hendrix, Deceased
Claimant Lawyers(s): John S. Chapman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Perry Lee Taylor, Linda M. Granata, Samuel Appel
Hearing Site: Atlanta, GA
Checkmark Icon$1,282,560
14-0200303/04/2015Claimant(s): Jennifer Miller, John Bonfiglio, Lorene Hobgood, Randy Bellelo, Richard Smith, Sandra Leblanc, Cat Island Conservancy, Louis Mechanical Contractors., On-Site Concrete, Angela K. Bonfiglio, IRA, Daniel J. Bonfiglio, Danny R. Myers, Debrah M. Sledge, Donal B. Bahrenburg, Guy W. Sledge, Jack O. Marshall, Jr., Judith L. Anderson, Kathryn M. Roberts, Thomas H. Newland, Carroll Mayer Jr. or Berta Mayer, et al
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Pershing LLC
Respondent Lawyers(s): Elizabeth Edwards
Arbitrator(s):
Hearing Site: New Orleans, LA

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