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FINRA Awards for David W. Schmidt

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Displaying 10 out of 10 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0021207/27/2018Claimant(s): Alan Schlesinger SEP
Claimant Lawyers(s): Alan Schlesinger
Respondent(s): R. Seelaus & Co..
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
Checkmark Icon$0
16-0232404/04/2018Claimant(s): Robert J. Litsky & Michael Litsky TTEES
Claimant Lawyers(s): Michael C. Farkas
Respondent(s): The GMS Group
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Joseph J. Arata, Paul Bennett Marrow, Barry Stephen Spector
Hearing Site: New York, NY
Checkmark IconExpungement
15-0307502/21/2017Claimant(s): Carole Stanley, Tony Stanley
Claimant Lawyers(s): Russell Forkey
Respondent(s): Carmine Capone, Jason Figueroa, Paul Mante, The GMS Group
Respondent Lawyers(s): David W. Schmidt, Jason Lyn Figueroa
Arbitrator(s): Lawrence M. Green, Kimberly A. Gilmour, Toby Bartosh
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
15-0349109/09/2016Claimant(s): Athalie G. Silverberg Revocable Trust
Claimant Lawyers(s): Todd L. Silverberg
Respondent(s): The GMS Group
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
Checkmark Icon$18,382
12-0182111/24/2015Claimant(s): Morgan Stanley
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Denise Yuu
Respondent Lawyers(s): Anthony R. Minchella
Arbitrator(s): John B. Dew, Mary Elizabeth Satran, Michael P. Breton
Hearing Site: Hartford, CT
11-0238811/08/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Christopher Babcock
Respondent Lawyers(s): Christopher Babcock
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
11-0026010/16/2012Claimant(s): Jill Goldman, The Goldman Family 2007 Irrev. Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Hugh Wallschleger, R. Seelaus & Co..
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Michael Fischetti, Robert E. Anderson, Sherrill Ruth Austin
Hearing Site: Newark, NJ
Checkmark IconStipulated Award and Expungement
09-0685504/20/2012Claimant(s): Christopher Noonan, Stephen Patton, Thomas Noonan
Claimant Lawyers(s): Scott C. Helmholz, Steven W. Koslovsky
Respondent(s): Morgan Stanley, William Lee
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Thomas J. Ray, Jesse David Hill, Donald W. Moriarty
Hearing Site: St. Louis, MO
10-0434104/26/2011Claimant(s): Kathleen O'Brien
Claimant Lawyers(s): Kathleen S. O'Brien
Respondent(s): Thomas Feely, Edward Jones
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
Checkmark Icon$38
05-0628010/08/2008Claimant(s): Prudential Equity Group
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Stanley Szymczyk
Respondent Lawyers(s): Stephen A. Madoni
Arbitrator(s): Salvatore A. Sciortino, James M. Goldberg, Karen J. Burneff
Hearing Site: Los Angeles, CA

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