| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 22-02912 | Claimant(s): Vicente Castillo
Claimant Representative(s): Roberto C. Quiñones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 04/26/2024 |
| 23-01327 | Claimant(s): Gregory Malin
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services, LLC.
Respondent Representative(s): David Feldstein
Neutral(s): Thomas B. Corey
Hearing Site: Baltimore, MD
|
Award | FINRA | 04/25/2024 |
| 23-02975 | Claimant(s): David Scranton
Claimant Representative(s): James P. Galvin
Respondent(s): Park Avenue Securities LLC
Respondent Representative(s): Thomas Drogan
Neutral(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
|
Award | FINRA | 04/25/2024 |
| 23-01665 | Claimant(s): Bradley Grate, David Hamilton, Gary Edwards, Jeffrey Worley, Robert Ertner
Claimant Representative(s): Brandon Dei
Respondent(s): Shawn Kinsella, Axos Clearing LLC
Respondent Representative(s): Carl S. Burkhalter
Neutral(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
|
Award | FINRA | 04/25/2024 |
| 23-02474 | Claimant(s): Zak Shaik
Claimant Representative(s): Zak Shaik
Respondent(s): Pruco Securities, LLC.
Respondent Representative(s): Caitlin P. Cascino
Neutral(s): Edward W. Morris, Jess A. Bunshaft, Alan Steven Mittleman
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/25/2024 |
| 23-03462 | Claimant(s): Kovack Securities Inc
Claimant Representative(s): Amy Towle
Respondent(s): Hans Sharma
Respondent Representative(s): Hans R. Sharma
Neutral(s): Jim Geiger
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/25/2024 |
| 23-01910 | Claimant(s): Eric Jensen
Claimant Representative(s): Eric Jensen
Respondent(s): Peter Bednarek
Respondent Representative(s): Logan S. Fisher
Neutral(s): Mary S. Wyatte
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/25/2024 |
| 22-00898 | Claimant(s): Margaret van Krieken, Roeland van Krieken
Claimant Representative(s): Marc Fitapelli
Respondent(s): Morgan Stanley
Respondent Representative(s): Theodore R. Snyder
Neutral(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/25/2024 |
| 22-01848 | Claimant(s): X, LLC
Claimant Representative(s): Mark S. Gregory
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Joshua D. Jones
Neutral(s): Edward A. Trabin, Isaac K. Tasinga, Gecole L. Harley
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/25/2024 |
| 23-01494 | Claimant(s): Richard Thomas
Claimant Representative(s): Alex Padla
Respondent(s): SunAmerica Securities, Inc., SII Investments, Inc.
Respondent Representative(s): Eric A. Michaels, Jennifer R. Cox
Neutral(s): Katherine Hendricks
Hearing Site: Portland, OR
|
Award | FINRA | 04/25/2024 |
| 23-01535 | Claimant(s): Stephen Ferencik
Claimant Representative(s): Michael Kalmus
Respondent(s): Morgan Stanley DW Inc., Triad Advisors LLC, UBS Financial Services Inc.
Respondent Representative(s): Brandy Fernandez, Greg Curley, John Murphy
Neutral(s): Jeffrey Alperin, Christopher R Carroll, Chanteasea Pyron Swain
Hearing Site: Atlanta, GA
|
Award | FINRA | 04/24/2024 |
| 23-03198 | Claimant(s): Dean Donohue
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
|
Award | FINRA | 04/24/2024 |
| 23-02687 | Claimant(s): Connor Aronis
Claimant Representative(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Michael J Norton
Hearing Site: Wichita, KS
|
Award | FINRA | 04/24/2024 |
| 23-01042 | Claimant(s): Stephen Kiront
Claimant Representative(s): John D. Stewart
Respondent(s): Woodstock Financial Group, Inc.
Respondent Representative(s): William J. Raike
Neutral(s): Peter A. Goldman, Clive I. Morrick, Aymen Aboushi
Hearing Site: New York, NY
|
Award | FINRA | 04/24/2024 |
| 23-00420 | Claimant(s): Leonid Krimotat, Sima Bergelson
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff Beckham
Neutral(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/24/2024 |
