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FINRA Awards for Stephen Smith

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0052208/30/2018Claimant(s): Edwin B. and Ellen L. Smith Irrevocable
Claimant Lawyers(s): Stephen Smith
Respondent(s): James Wheaton, Krishna Rani Jeffries, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
Checkmark Icon$0
14-0033310/30/2014Claimant(s): William Garnett
Claimant Lawyers(s): William J. Garnett
Respondent(s): David Moore, Stephen Smith, Clean Energy Capital Securities LLC
Respondent Lawyers(s): David M. Moore
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
13-0185710/22/2014Claimant(s): Drew Doscher
Claimant Lawyers(s): A. Todd Merolla
Respondent(s): Michael Meagher, Michael Meyer, Stephen Smith, Armory Advisors, Armory Fund, LLP, Sea Port Group Securities, The Seaport Group, Seaport V
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Kevin B. Naughten, Michele S. Riley, Robert Francis Littlejohn
Hearing Site: New York, NY

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