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FINRA Awards for Benjamin F. Breslauer

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Displaying 31-40 out of 61 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0111212/26/2019Claimant(s): Allen Schreiber
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
17-0200408/17/2018Claimant(s): Boustead Securities
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): David Walters
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
17-0320207/12/2018Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott Rahn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
17-0016606/07/2018Claimant(s): Thomas Yague
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Owen
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mario H. Metzger, Benjamin F. Breslauer, Robert Dean McKinley
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
15-0178302/12/2018Claimant(s): Joseph Semprini
Claimant Lawyers(s): Kathleen M. Hartman
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Benjamin F. Breslauer, Steven H. Gentry, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
16-0081201/25/2018Claimant(s): Petra Latch, Criterion Group Inc.fka The Randal Compa, Peve, Peve Defined Benefit Pension Plan, Randall Company Defined Benefit Pension
Claimant Lawyers(s): David Mincin
Respondent(s): Christine Soscia, Steven BeattyL Independent Advisor Services Group,
Respondent Lawyers(s): David Freniere, Jay Young
Arbitrator(s): Benjamin F. Breslauer, Robert E. Jenks, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
16-0050306/01/2017Claimant(s): Jorge Casas IRA
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Benjamin F. Breslauer, Daniel Lawrence Pearlman, Isaac K. Tasinga
Hearing Site: Los Angeles, CA
Checkmark Icon$0
16-0275502/14/2017Claimant(s): Dorothy Diehl
Claimant Lawyers(s): Dorothy Diehl
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Michael Regan
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
Checkmark Icon$300
15-0035302/10/2017Claimant(s): Sheila Fernandes
Claimant Lawyers(s): Shyla Fernandes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
Checkmark Icon$0
14-0367101/12/2016Claimant(s): Judith Sisneros, Judith Sisneros IRA, Judith Sisneros Roth IRA
Claimant Lawyers(s): Brynn Anne Gruenberg, Jeremy Scott Hyndman
Respondent(s): Christopher Vanstelle, Steelpoint Securities
Respondent Lawyers(s): Christopher Van Stelle
Arbitrator(s): Benjamin F. Breslauer, Valerie Lewis, Randall William Clow
Hearing Site: Los Angeles, CA
Checkmark Icon$100,000

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