Potomac Analytics' Logo

FINRA Awards for Jane A. Smith

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

Filter by:

Sort by:

Displaying 10 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0154207/26/2022Claimant(s): Alpha Quantum LLC c/o Jose Michelen
Claimant Lawyers(s): David E. Robbins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Steven Gerard Goerke, Jane A. Smith, Robert G. Geeseman
Hearing Site: Boca Raton, FL
Checkmark Icon$0
14-0113410/28/2021Claimant(s): Juan Trinidad-Garcia, Juan Felix Trinidad-Rodriguez
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Langfred W. White, Gloria O. North, Jane A. Smith
Hearing Site: San Juan, PR
Checkmark Icon$6,876,100
16-0073702/12/2019Claimant(s): R. A. Rosario, for his Retirement Plan
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Thomas Joseph Atkinson, Jane A. Smith, Neil Harvey Smith
Hearing Site: San Juan, PR
Checkmark Icon$135,630
15-0297105/15/2017Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
Checkmark Icon$0
16-0257005/09/2017Claimant(s): Mariann Miller
Claimant Lawyers(s): Mariann Brand Miller
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
16-0291604/24/2017Claimant(s): Gary Harris
Claimant Lawyers(s): Gary G. Harris
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Theodore R. Bynum
Arbitrator(s): Jane A. Smith, Neil Harvey Smith, William Scarr Shefte
Hearing Site: Charlotte, NC
Checkmark IconDismissed by Rule 12206
14-0024903/04/2016Claimant(s): McDermott Investment Services
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju
Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig
Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche
Hearing Site: Washington, DC
14-0289910/29/2015Claimant(s): Alaleh Banafshe and Saied Banafshe
Claimant Lawyers(s): Saied Banafshe
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
Checkmark Icon$0
14-0109904/08/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Douglas Gill
Respondent Lawyers(s): Douglas Joseph Gill
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
14-0169101/09/2015Claimant(s): Securities Investor Protection Corp.
Claimant Lawyers(s): Hemant Sharma
Respondent(s): Joan Perry, Take Charge Financial
Respondent Lawyers(s): Joan A. Perry, Joan Anne Perry
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
Checkmark Icon$100,000

15 Results

Display: