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FINRA Awards for Charles R. Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0251101/18/2011Claimant(s): Joseph Torsiello
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): AXA Advisors
Respondent Lawyers(s): Elliot R. Good
Arbitrator(s): Sheldon I. Saitlin, Ned B. Young, Charles R. Smith
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0597509/22/2010Claimant(s): Ron Bekins
Claimant Lawyers(s): Ron Bekins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Frances D. Sheehy, Mary H. Cory, Charles R. Smith
Hearing Site: Boca Raton, FL

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