| 23-02952 | 05/09/2024 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 20-01072 | 01/19/2023 | Claimant(s): David Smith, The Estate of Clara M. Bell
Claimant Lawyers(s): Scott A. Lane
Respondent(s): Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): G. Clinton Kelley
Arbitrator(s): Jeffrey M. Bain, Gary Lee Ainley, Karl Strohbehn
Hearing Site: Cleveland, OH
|  | $93,666 |
| 22-01316 | 01/13/2023 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-02064 | 03/08/2021 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | |
| 19-01511 | 10/14/2020 | Claimant(s): Charlotte Chase
Claimant Lawyers(s): John M. Petrisek
Respondent(s): David Smith, Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): Eric J. Purchase, G. Clinton Kelley
Arbitrator(s): Robert J. Scafuri, Kenneth Alan Eisner, Peter Vincent Marcoline
Hearing Site: Pittsburgh, PA
| | |
| 19-03458 | 05/15/2020 | Claimant(s): David Smith
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 15-02397 | 05/09/2016 | Claimant(s): David Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Alexander J. Nassar
Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 13-03528 | 12/04/2014 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Ana Maria Ignat
Respondent(s): CMCOLL Investment, LLLP
Respondent Lawyers(s): David Smith
Arbitrator(s): Debra A. Jenks, Jay L. Valinsky, Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 12-01190 | 06/12/2012 | Claimant(s): Jeannette Freeman Shapiro Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Andrew Kang, David Maurer, David Smith, Miles Benickes, Milford Stern, Randall Stern
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard B. Brown, Robert Alan Merring, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 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 |
