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FINRA Awards for Benjamin F. Breslauer

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Displaying 41-50 out of 61 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0199511/17/2015Claimant(s): Sean Edrington
Claimant Lawyers(s): Joseph R. Becerra
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Herbert Murez, Benjamin F. Breslauer, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
12-0319802/26/2015Claimant(s): Christopher Miller
Claimant Lawyers(s): John D. Singer
Respondent(s): Hartford Securities Distribution Co.
Respondent Lawyers(s): Denise M. Visconti
Arbitrator(s): Benjamin F. Breslauer, Thomas W. Gregory, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
13-0183701/02/2015Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): John Thornes, Thornes & Associates. Invest Sec
Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira
Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio
Hearing Site: Los Angeles, CA
Checkmark Icon$4,525,120
13-0280209/10/2014Claimant(s): Pat Seidler
Claimant Lawyers(s): Henry C. Casden
Respondent(s): Larry Michaels, J.P. Turner & Company, L.L.C., Crown Capital Securities, L.P.
Respondent Lawyers(s): Ali Sabetghadam, Craig R. Bockman
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Karen J. Burneff
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0375605/20/2014Claimant(s): Kyle Christensen
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Stanley C. Brooks
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
11-0069105/06/2014Claimant(s): Steven Weber, Kern Family Intervivos Trust DTD 8/9/00
Claimant Lawyers(s): Christopher Kern, Steve Weber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Benjamin F. Breslauer, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
12-0254807/19/2013Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Jacquelyn Mohr
Respondent(s): Andrew Kardish
Respondent Lawyers(s): Andrew Vincent Kardish
Arbitrator(s): Cathleen M. Cobb, Benjamin F. Breslauer, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
11-0478602/25/2013Claimant(s): Howard M. and Mary Ann L. Singer Trust
Claimant Lawyers(s): Joshua M. Baskin
Respondent(s): Chien Nguyen, Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
11-0448901/25/2013Claimant(s): Papell Family Trust v/a/d 8/12/1997
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Thomas E. Shuck, Mario H. Metzger, Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
Checkmark Icon$0
11-0306611/30/2012Claimant(s): Arlene Hazelrigg
Claimant Lawyers(s): Edward S. Gelfand
Respondent(s): Morgan Stanley & Co., Steven Vitale
Respondent Lawyers(s): Jonathan D. Robbins, Thomas P. Briody
Arbitrator(s): Roberta Haft, Benjamin F. Breslauer, David W. Dresnick
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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