FINRA Awards for Benjamin A. Kerner

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03248	04/10/2015	Claimant(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
14-01234	12/18/2014	Claimant(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
13-00977	09/13/2013	Claimant(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
10-04740	02/24/2012	Claimant(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
11-00944	08/12/2011	Claimant(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
05-06404	08/28/2007	Claimant(s): Richard M., and Sandra J. Pierzynski Claimant Lawyers(s): Joseph H. Spiegel Respondent(s): Patrick Drouillard, Hantz Financial Services. Respondent Lawyers(s): Bradley J. Schram Arbitrator(s): Harvey Frank, Benjamin A. Kerner, William David Jaeger Hearing Site: Detroit, MI		Stipulated Award and Expungement