| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-02990 | Claimant(s): Jack Riley
Claimant Representative(s): Randi Perry Spallina
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
|
Award | FINRA | 05/02/2024 |
| 23-02274 | Claimant(s): Robert Traitz
Claimant Representative(s): Brian Luther
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): James C. Browning
Neutral(s): Sam Antar
Hearing Site: Jersey City, NJ
|
Award | FINRA | 05/02/2024 |
| 23-03400 | Claimant(s): Douglas Evans
Claimant Representative(s): Douglas C. Evans
Respondent(s): Eric Chu, Michael Blackburn, Tradesk Securities, Inc.
Respondent Representative(s): Eric Chu, Michael R. Blackburn
Neutral(s): Laura Carraher
Hearing Site: New York, NY
|
Award | FINRA | 05/02/2024 |
| 23-02692 | Claimant(s): Carl Labruna
Claimant Representative(s): Carl John Labruna
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Nuviah Shirazi
Neutral(s): Louis David Huss, Mark A. Jacoby, Lauren Beth Shapiro
Hearing Site: Boca Raton, FL
|
Award | FINRA | 05/01/2024 |
| 23-02598 | Claimant(s): Williams Butcher
Claimant Representative(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory, LLC
Respondent Representative(s): Myra P. Nicholson
Neutral(s): G. Dennis Sheehan, Dawna Kim Larson, Nick Thomas
Hearing Site: Houston, TX
|
Award | FINRA | 05/01/2024 |
| 23-01345 | Claimant(s): Alexander Hackley
Claimant Representative(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services, Inc.
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Martin M. Berliner, Leonard M. Goldstein, Adam Michael Porter
Hearing Site: Denver, CO
|
Award | FINRA | 05/01/2024 |
| 22-00992 | Claimant(s): Estate of Donald W. Gomez
Claimant Representative(s): Melinda Jane Steuer
Respondent(s): Morgan Stanley, Katie Beres
Respondent Representative(s): Connor M. Trafton
Neutral(s): Ralph A. Cotton, Scott Dodson, John Timothy Nardell
Hearing Site: San Francisco, CA
|
Award | FINRA | 05/01/2024 |
| 23-00211 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283)
Claimant Representative(s): Kevin P. Conway
Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, LLC
Respondent Representative(s): Jason Kempf
Neutral(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi
Hearing Site: New York, NY
|
Award | FINRA | 05/01/2024 |
| 22-02666 | Claimant(s): David Del Toro
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 04/30/2024 |
| 23-00429 | Claimant(s): Michael Rosenthal
Claimant Representative(s): Sam B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Anthony J. Borelli
Neutral(s): Robert Barton McLeroy, Albert Bates Wenzell, Carl Haralson Ginsberg
Hearing Site: Dallas, TX
|
Award | FINRA | 04/30/2024 |
| 22-01455 | Claimant(s): Raymond Paller
Claimant Representative(s): Bruce Lewitas
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Valerie Holder
Neutral(s): Mark L Miller, Susan M. Coleman, Lisa M. Krimen
Hearing Site: Chicago, IL
|
Award | FINRA | 04/30/2024 |
| 23-01743 | Claimant(s): Francis Amsler, Marc Laborde
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): Rockefeller Financial LLC
Respondent Representative(s): William Fenrich
Neutral(s): Jeffrey R. Jury
Hearing Site: Houston, TX
|
Award | FINRA | 04/30/2024 |
| 23-02762 | Claimant(s): Jeffrey Hill
Claimant Representative(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs., Inc
Respondent Representative(s): Craig Vollono
Neutral(s): Annamaria Boccia Smith
Hearing Site: New York, NY
|
Award | FINRA | 04/29/2024 |
| 23-02932 | Claimant(s): Chadwick Richards
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Representative(s): Rochelle Mayfield
Neutral(s): Harvey R. Linder
Hearing Site: Nashville, TN
|
Award | FINRA | 04/29/2024 |
| 23-02189 | Claimant(s): Yolanda Rosich Clemente
Claimant Representative(s): Sara L. Velez Santiago
Respondent(s): Popular Securities, LLC.
Respondent Representative(s): Mariela M. Ramirez Morales
Neutral(s): Nancy J. Cliff
Hearing Site: San Juan, PR
|
Award | FINRA | 04/29/2024 |
