Cases Won by Breese Law

Customer Cases that have gone through arbitration hearings


Joseph Cage et al. v. Raymond James & Associates, Inc. et al.     FINRA Case #17-02973 [PDF]

Award:  $3.2 million


Anne Marie Fargason et al. v. Morgan Stanley et al. Case# 18-02895 [PDF]

Award:  $115,000


Jo Ann Bennett et al. v. Raymond James et al.    FINRA Case #14-02056 [PDF]

Award:  $846,000


Lon Lutz M.D. et al. v. Morgan Stanley et al.  FINRA Case #12-02257 [PDF]

Award:  $2.5 million


Jessica Clarke v. Morgan Stanley et al.   FINRA Case #12-00159 [PDF]

Award:  $150,000


Allen B. Silk et al. v. Securities Service Network, Inc et al.    FINRA Case #11-04569 [PDF]

Award:  $292,408


Larry Hammonds et al. v. Prudential Equity Group LLC    FINRA Case #07-1716 [PDF]

Award:  $2.08 million


William P. Holmes et al. v. Royal Alliance Associates, Inc. et al.  FINRA case #07-01585 [PDF]

Award:  $859,000 plus interest


James L. Snow et al. v. Prudential Equity Group LLC et al.    FINRA Case #07-01704 [PDF]

Award:  $656,000 plus interest


Customer cases settled without hearings

  • Joseph Cage et al. v. Raymond James et al.      FINRA Case #17-02973 (some claimants)
  • Anne Marie Fargason et al. v. Morgan Stanley et al. FINRA Case# 18-02895 (one claimant)
  • Stacey Hydrick v. Raymond James et al.  Case #18-00410
  • Jordan Bradford v. Hancock Investment Services, Inc. et al.  Case# 18-01225
  • Richard L. Forman v. Merrill Lynch et al.  FINRA Case #18-01809
  • Oscar Mendez, M.D. v. Edward Jones et al.   FINRA Case #17-00914
  • Sharon Adams et al. v. Raymond James et al.    FINRA Case #16-01383
  • Sonia Lagos Mendez v. Edward Jones et al.     FINRA Case #14-03588
  • Jo Ann Bennett et al. v. Raymond James et al.    FINRA Case #14-02056  (some claimants)
  • Robert Douglas Brown et al. v. Morgan Stanley, et al. (settled without filing claim)
  • Richard Durgin et al. v. Morgan Stanley et al.   FINRA Case #13-00850
  • Chris Ethridge M.D. et al. v. Morgan Stanley et al.    FINRA Case #13-00880
  • Robert Lazarus et al. v. Morgan Stanley et al.    FINRA Case #14–02172
  • James P. Rayner v. LPL Financial LLC     FINRA Case #16-02096
  • David Wender M.D. et al. v. Morgan Stanley et al.     FINRA Case #13-01000
  • Robert Abney M.D. et al. v. Morgan Stanley et al.   FINRA Case #14-03587
  • Eli Anding, et al. v. Morgan Stanley et al.    FINRA Case #16-00224
  • James T. Eldridge et al. v. Windsor Street Capital     FINRA Case #17-01839

Current cases in litigation

  • Guy Ron Payne et al. v. Raymond James et al.     FINRA Case #19-01691
  • Gloria Baker et al. v. Raymond James et al.:  Hinds County MS Circuit Court – Cause #17-4610