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FINRA Awards for Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0226407/22/2011Claimant(s): Smith, Moore & Co.
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael P. Manley
Arbitrator(s): Frederick Michael Switzer, James M. Stern, David A. Fingerhut
Hearing Site: St. Louis, MO
09-0600112/31/2010Claimant(s): Hans-Dieter Neuen
Claimant Lawyers(s): Ira M. Potter
Respondent(s): Equity Concepts., Smith, Moore & Co.
Respondent Lawyers(s): Daniel E. Diemer, M. Jane Matoesian
Arbitrator(s): Keith E. Mattern, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO

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