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FINRA Awards for Brian D. Esenwein

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0122604/09/2018Claimant(s): Jeremy Walker
Claimant Lawyers(s): Brian D. Esenwein
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Danya W. Blair
Arbitrator(s): Kenneth R. Hanks, G. Maynard Green, Robert J. Gregory
Hearing Site: Dallas, TX
15-0233307/21/2016Claimant(s): Betty Johnson
Claimant Lawyers(s): Betty L. Johnson
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
15-0132509/01/2015Claimant(s): Ameriprise Financial Services., Scott Miller
Claimant Lawyers(s): Danya W. Blair
Respondent(s): Jeremy Walker
Respondent Lawyers(s): Brian D. Esenwein
Arbitrator(s): Louis J. Weber, Robert L. Yeager, Darryl Lipinski
Hearing Site: Dallas, TX

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