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FINRA Awards for Kenneth I. Rosenblum

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0374305/08/2012Claimant(s): Donna Wagner, Richard Wagner, R.L.WagnerTrust-Richard Wagner Trustee
Claimant Lawyers(s): James R. Ebert, William A. Malis
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Institutional Securities LLC
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Kenneth I. Rosenblum, Gerald F. Corrigan, Richard M. Norman
Hearing Site: Los Angeles, CA
Checkmark IconAuction Rate Securities related
08-0501601/03/2011Claimant(s): Family Bypass Trust of the Gordon Family, Gordon Investment Trust, Surviving Spouse's Trust
Claimant Lawyers(s): Scott Shapiro, Steve Buchwalter
Respondent(s): Grace Stclair, PFS Investments Inc., Primerica Financial Services, The Travelers Life and Annuity Company
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Kenneth I. Rosenblum, Melvin S. Feldman, Robert Dean McKinley
Hearing Site: Los Angeles, CA
Checkmark Icon$477,867
08-0045304/16/2009Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Winston
Respondent Lawyers(s): Ethan Chernin
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Ronald E. Ogden
Hearing Site: Los Angeles, CA
08-0107404/14/2009Claimant(s): Patty Mattson
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Oppenheimer & Co.., Lawrence Goldstein, Ronald Gershon
Respondent Lawyers(s): Mitchell J. Albert
Arbitrator(s): Kenneth I. Rosenblum, Arthur T. Berggren, Eric Gad Forster
Hearing Site: Los Angeles, CA
Checkmark Icon$22,000
08-0131201/23/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jeremiah Smith
Respondent Lawyers(s): Jeremiah L. Smith
Arbitrator(s): Robert S. Fash, Kenneth I. Rosenblum, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
07-0290101/23/2009Claimant(s): Kenneth Chyten
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Dennis Devaney, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Kenneth I. Rosenblum, Edward J. Costello, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
07-0110812/26/2008Claimant(s): D&H Claims Services., H&H Agency., Sterling Casualty Insurance Company
Claimant Lawyers(s): David J. Darnell
Respondent(s): J.P. Morgan Securities, Oppenheimer & Co.., Michael Horaney
Respondent Lawyers(s): Mitchell J. Albert, Neal S. Robb, Robert J. Girard
Arbitrator(s): Elliott David Finkel, Kenneth I. Rosenblum, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
Checkmark Icon$138,200
06-0495003/20/2008Claimant(s): Eugh Shibasaki, Junko Shibasaki, Kyoko Kusaba, Raye Shibasaki, Shibasaki Family Trust dtd 4/12/91
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hitomi Tsuyuki
Respondent Lawyers(s): Hitomi Tsuyuki
Arbitrator(s): Alan Stamm, Kenneth I. Rosenblum, Thomas R. Watkins
Hearing Site: Los Angeles, CA
Checkmark Icon$371,440

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