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FINRA Awards for Glen Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0294404/07/2017Claimant(s): Glen Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lacy M. Triplett
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
12-0335010/24/2012Claimant(s): Sergio Alvarado
Claimant Lawyers(s): David Neuman
Respondent(s): Glen Smith, Capstone Partners, L.C.
Respondent Lawyers(s): Glen Edward Smith, Gregory Bartko
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
Checkmark Icon$997,380

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