For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-01157 | Claimant(s): Luke Lannister
Claimant Representative(s): Austin Davis
Respondent(s): Cuso Financial Services, L.P., Grove Point Investments, LLC
Respondent Representative(s): Lydia R. Zaidman
Neutral(s): Diane Ciccone, Kimberly A. Gilmour, John J. Fitzpatrick
Hearing Site: Baltimore, MD
|
Award | FINRA | 12/04/2025 |
| 24-00936 | Claimant(s): Boustead Securities, LLC
Claimant Representative(s): Tara Hopper Rice
Respondent(s): AERWINS Inc., AERWINS Technologies Inc.
Respondent Representative(s): Corporate Officer, Registered Agent
Neutral(s): Marc S. Joseph, BaoKim N. Coleman, Peter A. Neumann
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/04/2025 |
| 25-01939 | Claimant(s): Gerard Costello
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Ted M. Rosen, Constance Ellen Boukidis, David A. Schuler
Hearing Site: New York, NY
|
Award | FINRA | 12/03/2025 |
| 24-01857 | Claimant(s): Anthony Lawson, Cynthia Clark, Dale Samuels, Delfinia McGriff, Gloria Sweeney, Margarite Raysor, Marla Boone-McCray, Mary McClendon, Mary Samuels, Mildred White
Claimant Representative(s): Michael C. Bixby
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz
Neutral(s): Cindy L. Anderson, Meeta Alberta Bass, Tyrone Nathaniel Watson
Hearing Site: Jacksonville, FL
|
Award | FINRA | 12/03/2025 |
| 23-03606 | Claimant(s): Dan Wagner
Claimant Representative(s): Alan Wolper
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Representative(s): Alan Wolper, Garry T. Stevens
Neutral(s): Gayle B. Carlson, Laura Puccia Valtorta, Joseph Rodney Starr
Hearing Site: Charlotte, NC
|
Award | FINRA | 12/03/2025 |
| 25-01460 | Claimant(s): Nicholas Sammy
Claimant Representative(s): Nicholas Sammy
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): Leslie L. Cooney
Hearing Site: Orlando, FL
|
Award | FINRA | 12/02/2025 |
| 23-00590 | Claimant(s): Martin Hack
Claimant Representative(s): Martin Hack
Respondent(s): Damon Gallagher, Morgan Stanley, Michael Farrell, Michael Sherrill
Respondent Representative(s): Joseph L. Calabrese
Neutral(s): Edward R. Niederriter, Will Murphy, Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/02/2025 |
| 23-01082 | Claimant(s): Adam Carlat, Gavin Jensen, Robert Young, One2One Wealth Strategies, LLC
Claimant Representative(s): Mahdi Ibrahim
Respondent(s): PlanMember Financial Corporation, PlanMember Securities Corporation, PlanMember Services Corporation
Respondent Representative(s): Brandon S. Reif
Neutral(s): Barbara M. Zak, Keny Edgar Chang Leon
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/02/2025 |
| 23-03280 | Claimant(s): Gongyi Lin
Claimant Representative(s): Charles Yongjun Fu
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Daniel A. Spector
Neutral(s): William M. Bankston, Barbara M. Anscher, Daniel Seligman
Hearing Site: Anchorage, AK
|
Award | FINRA | 12/02/2025 |
| 25-00537 | Claimant(s): Sibyl Woo
Claimant Representative(s): James P. Galvin
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Esther E. Cho
Neutral(s): Ilene T. Gormly, Andrew M. Mintzer, John J. Fitzpatrick
Hearing Site: Phoenix, AZ
|
Award | FINRA | 12/01/2025 |
| 25-00474 | Claimant(s): Logan Shalmi
Claimant Representative(s): Cory S. Zadanosky
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Alexa P. Saberito
Neutral(s): Stuart D. Summers, Christopher J. Klein, John J. Mager
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/01/2025 |
| 25-01514 | Claimant(s): Keith Johnson
Claimant Representative(s): Keith Johnson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Brooke S. Fleischman
Neutral(s): Richard Kent Mahrle
Hearing Site: Denver, CO
|
Award | FINRA | 12/01/2025 |
| 25-00736 | Claimant(s): Michael Bruggemann
Claimant Representative(s): Peter Lindholm
Respondent(s): Osaic Services, Inc.
Respondent Representative(s): Eric A. Michaels
Neutral(s): Carol M. Egan, Richard P. Regan, Thomas P. Valenti
Hearing Site: Honolulu, HI
|
Award | FINRA | 11/28/2025 |
| 25-00758 | Claimant(s): TradeStation Securities, Inc.
Claimant Representative(s): Myra C. Mormile-Wolper
Respondent(s): Nicole Conti
Respondent Representative(s): Nicole Conti
Neutral(s): Donald Dreyfus
Hearing Site: Las Vegas, NV
|
Award | FINRA | 11/28/2025 |
| 24-01464 | Claimant(s): Christopher Bouley
Claimant Representative(s): Seth I. Rubinson
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Ira G. Rosenstein
Neutral(s): Susan F. Drogin, Mary Elizabeth Satran, Stacey Price Nakasian
Hearing Site: Providence, RI
|
Award | FINRA | 11/28/2025 |