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FINRA Awards for Ben Broocks

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0478809/09/2011Claimant(s): Pavillion Trading LLC
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Kupfer, Penson Financial Services., Transcend Capital LLC
Respondent Lawyers(s): Ben Broocks, Lee Polson, Tim Davis
Arbitrator(s): Michael G. Hanlon
Hearing Site: Boise, ID
Checkmark IconExpungement

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