FINRA Awards for David L. Smith

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-01909	05/25/2012	Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust Claimant Lawyers(s): Jonah A. Toleno Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King Hearing Site: Los Angeles, CA		$334,000
10-03222	10/13/2011	Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T Claimant Lawyers(s): Irwin Stein Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities. Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe Hearing Site: Los Angeles, CA		$0