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FINRA Awards for Dianne Baquet Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0360111/25/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
12-0359004/26/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Victor Valdez
Respondent Lawyers(s): Victor Valdez
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
12-0126109/14/2012Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Kent Chung
Respondent Lawyers(s): Michael A. Gould
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA

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