FINRA Awards for Tracey Salmon-Smith

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Displaying 31-34 out of 34 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
08-03323	12/18/2009	Claimant(s): Cheryl Seifert Claimant Lawyers(s): Erwin Cohn Respondent(s): David Mummery, UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Alan S. Farnell, Rita J. Jacyna Curley, Karyn Lynne Williams Hearing Site: Chicago, IL		$67,000
08-04010	04/17/2009	Claimant(s): Seth D. Rose and Louise Rose Claimant Lawyers(s): Seth Rose Respondent(s): John Dolan, UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Martin H. Zern Hearing Site: New York, NY		$213
07-03603	12/30/2008	Claimant(s): James Apostle Claimant Lawyers(s): Mark J. Astarita Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): John J. Lynch, Louis H. Miron, Edward W. Morris Hearing Site: Newark, NJ
07-02691	02/26/2008	Claimant(s): John Maisano Claimant Lawyers(s): John A. Maisano Respondent(s): Judson Potter, UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Jeffrey R. Martin Hearing Site: Boston, MA		$0