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 |
|---|---|---|---|---|
| 25-01346 | Claimant(s): Credit Suisse (USA) LLC
Claimant Representative(s): Anthony J. Borrelli
Respondent(s): Brian Sullivan
Respondent Representative(s): Brian D. Sullivan
Neutral(s): Peter A. Goldman
Hearing Site: New York, NY
|
Award | FINRA | 06/11/2026 |
| 25-02630 | Claimant(s): Michael Whitaker
Claimant Representative(s): Gregg J Breitbart
Respondent(s): NewBridge Securities Corp.
Respondent Representative(s): Robert Spitler
Neutral(s): Patrick R. Sughroue, Daniel James Kortum, Frances Johnson Wright
Hearing Site: Orlando, FL
|
Award | FINRA | 06/11/2026 |
| 24-01867 | Claimant(s): Lois Goldberg, Estate of Richard Goldberg
Claimant Representative(s): Sean M. Sweeney
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): James L. Kopecky
Neutral(s): Mark Richard Cummisford, Nathaniel Cade, Noah Pelc
Hearing Site: Milwaukee, WI
|
Award | FINRA | 06/10/2026 |
| 25-00665 | Claimant(s): Tanner Bartlow
Claimant Representative(s): David S. Harrison
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Tracy L. Allen
Hearing Site: Detroit, MI
|
Award | FINRA | 06/10/2026 |
| 26-00151 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LLC
Claimant Representative(s): Jennifer Tomsen
Respondent(s): Nicolas Stanley
Respondent Representative(s): Nicolas Stanley
Neutral(s): Mitchell Regenbogen
Hearing Site: New York, NY
|
Award | FINRA | 06/10/2026 |
| 25-02841 | Claimant(s): Esther Gobbelet
Claimant Representative(s): Esther J. Gobbelet
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Marvin L. Schuldiner
Hearing Site: Jersey City, NJ
|
Award | FINRA | 06/09/2026 |
| 25-01143 | Claimant(s): Cathie Posey-Goulding, John Goulding
Claimant Representative(s): Jon-Jorge Aras
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Taylor J. Stewart
Neutral(s): Gordon M. Wase, Mark H. Stein, Scott Steven Morrison
Hearing Site: Philadelphia, PA
|
Award | FINRA | 06/09/2026 |
| 25-00536 | Claimant(s): Michael Van Slyke
Claimant Representative(s): David K. Silverberg
Respondent(s): Bankers Life Securities, Inc.
Respondent Representative(s): Adam D. Cotter
Neutral(s): Michael J. Meeusen, Denise L. Presley, Anastasia Tkatschow
Hearing Site: Syracuse, NY
|
Award | FINRA | 06/09/2026 |
| 25-00923 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Representative(s): Anthony J. Borrelli
Respondent(s): Alfred Montanino
Respondent Representative(s): Rachel Demarest Gold
Neutral(s): Ann Judith Gellis
Hearing Site: New York, NY
|
Award | FINRA | 06/09/2026 |
| 25-01272 | Claimant(s): Jacob Juneau
Claimant Representative(s): Jacob Juneau
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Mark G. Materna
Neutral(s): Ashley Lucile Belleau, William John Sommers, Martha Young Curtis
Hearing Site: New Orleans, LA
|
Award | FINRA | 06/09/2026 |
| 25-00435 | Claimant(s): Candyce Myers
Claimant Representative(s): Scott L. Silver
Respondent(s): Arkadios Capital
Respondent Representative(s): Heidi E. VonderHeide
Neutral(s): Arocles Aguilar, Mary Mackey, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|
Award | FINRA | 06/09/2026 |
| 25-00185 | Claimant(s): Kristina Kiley
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): George Terlizzi
Respondent Representative(s): George Terlizzi
Neutral(s): Charles L.A. Terreni
Hearing Site: Charlotte, NC
|
Award | FINRA | 06/09/2026 |
| 25-02226 | Claimant(s): Andrew Lee
Claimant Representative(s): Peter Lindholm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): George G. Kurschner, Stuart K. Furman, Joseph Neal Richardson
Hearing Site: Los Angeles, CA
|
Award | FINRA | 06/09/2026 |
| 25-02757 | Claimant(s): Guy Zaslavsky
Claimant Representative(s): Guy Zaslavsky
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M Schopf
Neutral(s): Eric Goldman
Hearing Site: New York, NY
|
Award | FINRA | 06/09/2026 |
| 25-01532 | Claimant(s): William Shepard
Claimant Representative(s): Josef Y. Rosen
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Benjamin F. Breslauer, Kirtley M. Thiesmeyer, Carl F. Bowmer
Hearing Site: Orlando, FL
|
Award | FINRA | 06/08/2026 |