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FINRA Awards for Benjamin A. Kerner

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0324804/10/2015Claimant(s): Mark Tomas
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Benjamin A. Kerner, Martin I. Reisig, Richard Robert Cech
Hearing Site: Detroit, MI
14-0123412/18/2014Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
13-0097709/13/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Scott Nicol
Respondent Lawyers(s): Scott Cameron Nicol
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
10-0474002/24/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Michael Espinoza
Respondent Lawyers(s): Kevin P. Cummings
Arbitrator(s): Mary Beth Wheeler, Benjamin A. Kerner, Sharon L. Paul
Hearing Site: Detroit, MI
11-0094408/12/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Gary Sargent
Respondent Lawyers(s): Stuart H. Deming
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI

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