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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01612 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Michael Robinson
Respondent Representative(s): Michael Robinson
Neutral(s): Charles E. White
Hearing Site: Atlanta, GA
|
Motion to Vacate | FINRA | 12/18/2025 |
| 25-01612 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Michael Robinson
Respondent Representative(s): Michael Robinson
Hearing Site: Atlanta, GA
|
Award | FINRA | 12/18/2025 |
| 25-00378 | Claimant(s): Elaine Hartman
Claimant Representative(s): Christina Vourakis
Respondent(s): Independent Financial Group, LLC.
Respondent Representative(s): Sarah J. Kreisman
Neutral(s): Joyce L. Hurley, Barbara L. Edin, Robert Dean McKinley
Hearing Site: San Diego, CA
|
Award | FINRA | 12/17/2025 |
| 25-00690 | Claimant(s): Mark Thatcher
Claimant Representative(s): Peter Lindholm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Phyllis Karasov, Evalyn Lipton Fishbein, Gerald H. Grayson
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/17/2025 |
| 23-01003 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 12/17/2025 |
| 25-00042 | Claimant(s): David Mang
Claimant Representative(s): Richard T. Sullivan
Respondent(s): Moors & Cabot, Inc.
Respondent Representative(s): Pete S. Michaels
Neutral(s): Peter A.P. Dunlop
Hearing Site: Buffalo, NY
|
Award | FINRA | 12/16/2025 |
| 24-00575 | Claimant(s): Future Financial Planners, Inc.
Claimant Representative(s): Thomas B. Slocum
Respondent(s): Ilya Khalavsky, Prospera Financial Services, Inc., TFS Securities, Inc., Endurance Wealth Partners
Respondent Representative(s): Matthew N. Fiorovanti, Shea Hicks
Neutral(s): Michael H. DuBoff, Jon Martino, Lourdes Gomez
Hearing Site: Jersey City, NJ
|
Award | FINRA | 12/16/2025 |
| 24-02472 | Claimant(s): Francesca Hector-Jones
Claimant Representative(s): Francesca Hector-Jones
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): Christopher M. McMurray, Matthew Stephen Duchesne, Fatu Suah
Hearing Site: Richmond, VA
|
Award | FINRA | 12/16/2025 |
| 22-02191 | Claimant(s): Fermin Suarez, High & Future Investment Fund SA, LLC
Claimant Representative(s): Michael D. Padula
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): George D. Sullivan
Neutral(s): Steven N. Ainbinder, Gloria O. North, Cheryl Anne Snedeker
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/16/2025 |
| 25-00498 | Claimant(s): Craig Savage
Claimant Representative(s): William Bean
Respondent(s): Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC
Respondent Representative(s): John Murphy, Scott N. Sherman
Neutral(s): Lawrence E. Dube, Paul Lansing, Erik R. Siering
Hearing Site: Atlanta, GA
|
Award | FINRA | 12/15/2025 |
| 25-00692 | Claimant(s): Shelley Olschefski
Claimant Representative(s): Peter Lindholm
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): David A. Schuler
Hearing Site: Dallas, TX
|
Award | FINRA | 12/15/2025 |
| 25-01597 | Claimant(s): 220 Oak Knoll Inc.
Claimant Representative(s): Karol Raszkiewicz
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): Joseph C. Roberts
Hearing Site: Anchorage, AK
|
Award | FINRA | 12/15/2025 |
| 24-01310 | Claimant(s): James Naify
Claimant Representative(s): Jeffrey K. Riffer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., B of A Securities, Inc.
Respondent Representative(s): Jason E. Murtagh
Neutral(s): Robert C. Albini, Steven H. Gentry, Jon Robert Daurio
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/12/2025 |
| 24-00822 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Representative(s): Sara Soto
Respondent(s): Jayson Pocius
Respondent Representative(s): Jayson Robert Pocius
Neutral(s): John William Kenesey
Hearing Site: Chicago, IL
|
Award | FINRA | 12/12/2025 |
| 25-01846 | Claimant(s): Gregg Gelber
Claimant Representative(s): David I. Hantman
Respondent(s): Morgan Stanley, Oppenheimer & Co., Inc.
Respondent Representative(s): Alexa P. Saberito, Brandy Fernandez
Neutral(s): Mark S. Foster, Avery B. Goodman, Alden Sharp Adkins
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/12/2025 |