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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 26-00488 | Claimant(s): Michael Renshaw
Claimant Representative(s): Michael J. Renshaw
Respondent(s): Robinhood Securities, LLC
Respondent Representative(s): Michael Fakhoury
Neutral(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
|
Award | FINRA | 08/03/2026 |
| 26-00144 | Claimant(s): Paula Gomoll
Claimant Representative(s): Paula J. Gomoll
Respondent(s): Charles Schwab & Co., Inc., Cetera Financial Specialists LLC, Eric Wurtel
Respondent Representative(s): Janine M. Lucas
Neutral(s): Mark W Solock
Hearing Site: Chicago, IL
|
Award | FINRA | 08/03/2026 |
| 20-00840 | Claimant(s): Vincent Yacono
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Douglas Guarino, Kinan Nimeh, Michael Resciniti, Rockwell Global Capital LLC
Respondent Representative(s): Douglas J. Guarino, Kinan Nimeh, Michael J. Resciniti, Robert Bursky
Neutral(s): Patrick R. Westerkamp
Hearing Site: Syracuse, NY
|
Award | FINRA | 07/31/2026 |
| 26-00336 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Stephen J. Steinlight
Respondent(s): Jonathan Levitt
Respondent Representative(s): Jonathan E. Levitt
Neutral(s): Martin L. Feinberg
Hearing Site: New York, NY
|
Award | FINRA | 07/31/2026 |
| 23-02357 | Claimant(s): Windsor Street Capital, LP
Claimant Representative(s): David A. Schrader
Respondent(s): Michael Davis, M7 Balanced Stage Fund, LLC, M7 Asset Management, LLC, Syren Capital Advisors LLC
Respondent Representative(s): Robert M. Bursky
Neutral(s): Keely D. Parr, A. Rene Hollyer, Jon Michael Fundaro
Hearing Site: New York, NY
|
Award | FINRA | 07/30/2026 |
| 26-00191 | Claimant(s): Xavier Cortada
Claimant Representative(s): Xavier Cortada
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kevin S. Blume
Neutral(s): John James Rubin
Hearing Site: Atlanta, GA
|
Award | FINRA | 07/30/2026 |
| 26-00296 | Claimant(s): Soeun Na
Claimant Representative(s): Soeun Na
Respondent(s): Webull Financial LLC
Respondent Representative(s): Naomi Babu
Neutral(s): Carol Maria Luttati
Hearing Site: Jersey City, NJ
|
Award | FINRA | 07/30/2026 |
| 24-01882 | Claimant(s): Christopher Caso
Claimant Representative(s): Frank George
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Representative(s): Lloyd B. Chinn
Neutral(s): Linda R. Alpert, Mitchell Regenbogen, Phillip Michael Brown
Hearing Site: New York, NY
|
Award | FINRA | 07/30/2026 |
| 26-00643 | Claimant(s): Maria Henn
Claimant Representative(s): Maria Henn
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Leon Fox
Hearing Site: Chicago, IL
|
Award | FINRA | 07/29/2026 |
| 26-00389 | Claimant(s): William Willet
Claimant Representative(s): William Willet
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): Michael J. Meeusen
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 07/29/2026 |
| 26-00331 | Claimant(s): Russell Thompson
Claimant Representative(s): Russell W. Thompson
Respondent(s): DealMaker Securities, LLC, Wefunder Portal LLC
Respondent Representative(s): Christopher Vail, Mario C. Martins
Neutral(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
|
Award | FINRA | 07/28/2026 |
| 25-01318 | Claimant(s): Christopher Harpin
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Osaic FS, Inc.
Respondent Representative(s): Hilary D. Wells
Neutral(s): Joseph W. Lodato, John J. Mager, Michael S, McKenna
Hearing Site: Hartford, CT
|
Award | FINRA | 07/28/2026 |
| 26-00271 | Claimant(s): Carmenza Ramirez
Claimant Representative(s): Carmenza Ramirez
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Christopher P. Keogh
Neutral(s): Lynne M. Gomez
Hearing Site: Houston, TX
|
Award | FINRA | 07/28/2026 |
| 24-01221 | Claimant(s): James Libien, Patricia Libien, James and Patricia Libien 2000 Trust
Claimant Representative(s): Matthew Wilson
Respondent(s): Morgan Stanley
Respondent Representative(s): Suzette J. Barnes
Neutral(s): Kenneth Paul Strongman, Della Stein, Ghada Qaisi Audi
Hearing Site: San Francisco, CA
|
Award | FINRA | 07/28/2026 |
| 25-01734 | Claimant(s): Cris Lommel
Claimant Representative(s): Cris Lommel
Respondent(s): Diana Shuman, Morgan Stanley, Ronald Simpson
Respondent Representative(s): Trae D. Meyr
Neutral(s): Lisa Jane Austein, Beverly Hunnewell, Lori Adelson
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/28/2026 |