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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02837 | Claimant(s): Chris Cullina
Claimant Representative(s): Chris Cullina
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Thomas F Barnett
Neutral(s): Virginia Mary Hunt
Hearing Site: Providence, RI
|
Award | FINRA | 06/01/2026 |
| 25-01034 | Claimant(s): Sonali Patel
Claimant Representative(s): David S. Hill
Respondent(s): LPL Financial LLC
Respondent Representative(s): Matthew T. Boheneck
Neutral(s): Howard N. Gorney, Dennis James Malloy, Mark A. Sipper
Hearing Site: Portland, ME
|
Award | FINRA | 06/01/2026 |
| 25-01121 | Claimant(s): Jason Nelson
Claimant Representative(s): Jennifer Cox
Respondent(s): LPL Financial LLC
Respondent Representative(s): Kelsey Vasko
Neutral(s): Terry M Lloyd
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 06/01/2026 |
| 25-01541 | Claimant(s): Thomas Jerome-Surendran
Claimant Representative(s): Thomas Jerome-Surendran
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): John Bersin
Neutral(s): George J. Karlsven
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 05/29/2026 |
| 24-00957 | Claimant(s): Jeffrey Larson, Randall Larson
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Arete Wealth Management, LLC
Respondent Representative(s): Douglas W. Hyman
Neutral(s): Robert J. Scafuri, Jennifer McGillivary, Kim L. Kirn
Hearing Site: St. Louis, MO
|
Award | FINRA | 05/29/2026 |
| 24-02464 | Claimant(s): Galina Losch
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Susan Joplin
Neutral(s): Mary Ann Etzler
Hearing Site: Orlando, FL
|
Award | FINRA | 05/29/2026 |
| 25-01929 | Claimant(s): Scott Wolfrum
Claimant Representative(s): Patrick A. Watts
Respondent(s): Sanctuary Securities, Inc.
Respondent Representative(s): Kevin J. Miller
Neutral(s): Steven H. Vogel, Richard J. Lawrence, Kenneth R. Starr
Hearing Site: Indianapolis, IN
|
Award | FINRA | 05/28/2026 |
| 25-01266 | Claimant(s): Jason Smith
Claimant Representative(s): Andrew S. May
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Greg Curley
Neutral(s): James R. McGuone, Theodore W. Wrobleski, Michael J. Meeusen
Hearing Site: Chicago, IL
|
Award | FINRA | 05/28/2026 |
| 25-01158 | Claimant(s): Mark Vermillion
Claimant Representative(s): Tyler Reynolds
Respondent(s): Key Investment Services LLC
Respondent Representative(s): Shannon L. McDougald
Neutral(s): Richard J. Lawrence
Hearing Site: Portland, OR
|
Award | FINRA | 05/28/2026 |
| 25-02524 | Claimant(s): Elaine Stanley
Claimant Representative(s): Elaine J Stanley
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Efrat Cohen
Neutral(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
|
Award | FINRA | 05/28/2026 |
| 25-01158 | Claimant(s): Mark Vermillion
Claimant Representative(s): Tyler Reynolds
Respondent(s): Key Investment Services LLC
Respondent Representative(s): Shannon L. McDougald
Neutral(s): Richard J. Lawrence
Hearing Site: Portland, OR
|
Award | FINRA | 05/28/2026 |
| 24-02082 | Claimant(s): LPL Financial LLC
Claimant Representative(s): Samuel P. Mauch
Respondent(s): Barrington Gist
Respondent Representative(s): Barrington Edwin Gist
Neutral(s): Mollie Wagner Neal, James A. McIntosh, Michael Edward Collins
Hearing Site: Nashville, TN
|
Award | FINRA | 05/27/2026 |
| 25-01393 | Claimant(s): Scott Frail
Claimant Representative(s): Joseph T. Gallagher
Respondent(s): Truist Securities, Inc.
Respondent Representative(s): Andrew J. Shapren
Neutral(s): Jonathan B. Gilbert, Michael James Childers, Katherine E. Fath
Hearing Site: Charlotte, NC
|
Award | FINRA | 05/27/2026 |
| 25-01797 | Claimant(s): Michael Hughes
Claimant Representative(s): Michael R. Hughes
Respondent(s): E*Trade from Morgan Stanley
Respondent Representative(s): John Bersin
Neutral(s): Brian James Tagtmeier
Hearing Site: Dallas, TX
|
Award | FINRA | 05/27/2026 |
| 25-02578 | Claimant(s): Grant Carodine
Claimant Representative(s): Laura A. Pizzitola
Respondent(s): Edward Jones
Respondent Representative(s): Sye T. Hickey
Neutral(s): Sandra L. Malek, Paul E. Dahlman, George Pinckney Shingler
Hearing Site: Birmingham, AL
|
Award | FINRA | 05/26/2026 |