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FINRA Awards for Neal S. Smalbach

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0436002/10/2010Claimant(s): Kenneith Rose
Claimant Lawyers(s): Kenneith Vernon Rose
Respondent(s): Neal Smalbach, GunnAllen Financial
Respondent Lawyers(s): Neal S. Smalbach, William J. Schifino
Arbitrator(s): Arthur L. Tepper, Duncan H. Cameron
Hearing Site: Clearwater, FL
Checkmark Icon$0
08-0306310/09/2009Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Michael Hill
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Neal S. Smalbach
Arbitrator(s): Steven Ira Weinberger, Richard A. Stephens, R. Christopher Laux
Hearing Site: Boca Raton, FL

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