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FINRA Awards for Benjamin J. Biard

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Displaying 10 out of 63 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0309711/26/2024Claimant(s): Lisa Lighthipe-Hinz
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Ashley Lucile Belleau, Keely D. Parr, Daniel James Kortum
Hearing Site: Los Angeles, CA
23-0362609/25/2024Claimant(s): Scott Royal
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Wesley C. Wilson, Tina E. Patterson, Nanci Sondra Landy
Hearing Site: Omaha, NE
23-0307908/12/2024Claimant(s): Patricia Earl, Robert Earl, OCS OLI
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Brian Batson, Cary Corwin, Lion Street Financial
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Lewis Gordon Brewer, Tiffany Wax, Catherine Harper
Hearing Site: Orlando, FL
Checkmark IconDismissed by Rule 12504(a)(6)(B)
23-0118907/25/2024Claimant(s): Nir Haklili, Nir Haklili IRA
Claimant Lawyers(s): Nir Haklili
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
23-0252903/14/2024Claimant(s): Peter Blok
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Grove Point Investments
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Louis P. Wagman, Leo J. Karwejna, Thomas R Nathan
Hearing Site: Philadelphia, PA
23-0119503/04/2024Claimant(s): Daniel Southworth
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Summit Brokerage Service.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Gayle B. Carlson
Hearing Site: Jacksonville, FL
22-0199305/22/2023Claimant(s): Peter Mirenda
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Joseph Stone Capital L.L.C., J. P. Turner & Company LLC, First Midwest Securities., North American Clearing.
Respondent Lawyers(s): Benjamin J. Biard, Damian Maggio, Kelly Sutton, Sandi Farr
Arbitrator(s): Warren A. Forest, Mauricio Arcadier, Shameeka E. Quallo
Hearing Site: Orlando, FL
21-0176604/10/2023Claimant(s): Joseph Kutches
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): World Equity Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark L Miller, Edward John Zulkey, Gerald G Saltarelli
Hearing Site: Chicago, IL
Checkmark Icon$0
22-0205404/06/2023Claimant(s): John Redhead
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Maurice M. Feller, Howard B. Scherer, Karl A. Vogeler
Hearing Site: Tampa, FL
21-0292803/02/2023Claimant(s): Donald Tetrault
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark C Watler, Alan M. Holzberg, Charles John McBride
Hearing Site: Houston, TX
Checkmark IconDismissed by Rule 12206

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