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FINRA Awards for Carl Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0196609/19/2018Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra
Respondent Lawyers(s): David Feingold
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
16-0000212/28/2017Claimant(s): Pieter Van Wijk
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra, CJS Financial Corp.
Respondent Lawyers(s): David Feingold
Arbitrator(s): Theodor Brown, Cynthia A. DiMarco, Edmund Siejka
Hearing Site: New York, NY
Checkmark Icon$0
14-0376807/10/2015Claimant(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra
Claimant Lawyers(s): Carl Smith
Respondent(s): Pieter Wijk
Respondent Lawyers(s): Hilton M. Wiener
Arbitrator(s): Michele N. O'Brien
Hearing Site: Houston, TX
Checkmark Icon$0

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