FINRA Awards for Kathleen Smith Adams

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-02375	03/26/2018	Claimant(s): Brad Stark Claimant Lawyers(s): Chad Weaver Respondent(s): National Planning Corporation Respondent Lawyers(s): Scott R. Forbush Arbitrator(s): Kirtley M. Thiesmeyer, Joseph L. Hagan, Kathleen Smith Adams Hearing Site: Los Angeles, CA
16-00546	06/01/2017	Claimant(s): Farid Morim Claimant Lawyers(s): Farid Morim Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeff Wortman Arbitrator(s): Steven Gourley, Jack R. Goetz, Kathleen Smith Adams Hearing Site: Los Angeles, CA
15-00353	02/10/2017	Claimant(s): Sheila Fernandes Claimant Lawyers(s): Shyla Fernandes Respondent(s): Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Kathleen Smith Adams Hearing Site: Los Angeles, CA		$0
15-00610	07/07/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): John Lipari Respondent Lawyers(s): Michael E. Barmasse Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Kathleen Smith Adams Hearing Site: Los Angeles, CA