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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-02496 | Claimant(s): Lewis Morris and Pamela Morris
Claimant Representative(s): Pamela Morris
Respondent(s): Gregory Mueller, Robert Mueller
Respondent Representative(s): Jonathan M. Sterling
Neutral(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
|
Award | FINRA | 11/25/2025 |
| 25-01102 | Claimant(s): Ronald Martin
Claimant Representative(s): Anthony J. Durone
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Eric A. Michaels
Neutral(s): Dora M. Lassinger, Daniel B. MacLeod, Ira A. Auerbach
Hearing Site: St. Louis, MO
|
Award | FINRA | 11/25/2025 |
| 25-01141 | Claimant(s): Sandro Olivos
Claimant Representative(s): Kathy M. Klock
Respondent(s): Ocean Financial Services, LLC
Respondent Representative(s): Kathy M. Klock
Neutral(s): Peter Ordower, Thomas P. Valenti, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
|
Award | FINRA | 11/24/2025 |
| 25-01269 | Claimant(s): Shawn Manuel
Claimant Representative(s): David B. Cosgrove
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Greg Curley
Neutral(s): Barry H. Barnett, Vincent C. Pangia, Fern M. Laethem
Hearing Site: Kansas City, MO
|
Award | FINRA | 11/24/2025 |
| 25-00273 | Claimant(s): Parker King
Claimant Representative(s): Alex Padla
Respondent(s): Western International Securities, Inc.
Respondent Representative(s): Mary Simonson
Neutral(s): Janice L. Sperow, Ralph L. Jacobson, Dianne Marie Onichimowski
Hearing Site: Denver, CO
|
Award | FINRA | 11/24/2025 |
| 23-02039 | Claimant(s): Kingswood Capital Partners, LLC
Claimant Representative(s): John Garred
Respondent(s): Phillip Anderson
Respondent Representative(s): Seth I. Rubinson
Neutral(s): Gilbert R. Serota, Jeffrey M. Allen, Val D. Hornstein
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/21/2025 |
| 23-02927 | Claimant(s): Roberto De Jesus
Claimant Representative(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Velez
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 11/20/2025 |
| 25-01420 | Claimant(s): LPL Financial LLC
Claimant Representative(s): Samuel P. Mauch
Respondent(s): Elizabeth Espinal
Respondent Representative(s): Elizabeth Espinal
Neutral(s): Edward W. Morris
Hearing Site: Jersey City, NJ
|
Award | FINRA | 11/19/2025 |
| 23-02837 | Claimant(s): John Lowry, Kim Monchik
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Amalia Chin
Neutral(s): Ronald Harris Kisner
Hearing Site: New York, NY
|
Award | FINRA | 11/18/2025 |
| 23-03136 | Claimant(s): VALIC Financial Advisors, Inc.
Claimant Representative(s): Matthew Penfield
Respondent(s): Hornor, Townsend & Kent, LLC., Mark Block, Vincent Bresina-Hawkins
Respondent Representative(s): Colin Moriarty, Paula D. Schaffner
Neutral(s): Richard J. Lawrence, Donald Salcito, Sophia C. Hassman
Hearing Site: Denver, CO
|
Award | FINRA | 11/17/2025 |
| 22-00440 | Claimant(s): Lynn Schneider Foundation, Inc., IS 2010 Trust FBO Jeremiah Joseph U/A 12/23/10, IS 2010 Trust FBO Maxwell Joseph U/A 12/23/10, Lynn Schneider 2012 Trust FBO Jeremiah Joseph, Lynn Schneider 2012 Trust FBO Maxwell Joseph, Lynn Schneider 2016 GRAT U/A 10/20/16, Lynn Schneider Revocable Trust U/A 12/19/12, Trust FBO Jeremiah Schneider Joseph U/A 4/20/95, Trust FBO Maxwell Schneider Joseph U/A 4/20/95
Claimant Representative(s): Kerry Brainard Verdi
Respondent(s): Morgan Stanley, Errol Furst, Michael Higgins
Respondent Representative(s): William D. Briendel
Neutral(s): Mary Julia O'Connell, Susan Romano, Peter D.C. Mason
Hearing Site: New York, NY
|
Award | FINRA | 11/17/2025 |
| 22-00440 | Claimant(s): Lynn Schneider Foundation, Inc., IS 2010 Trust FBO Jeremiah Joseph U/A 12/23/10, IS 2010 Trust FBO Maxwell Joseph U/A 12/23/10, Lynn Schneider 2012 Trust FBO Jeremiah Joseph, Lynn Schneider 2012 Trust FBO Maxwell Joseph, Lynn Schneider 2016 GRAT U/A 10/20/16, Lynn Schneider Revocable Trust U/A 12/19/12, Trust FBO Jeremiah Schneider Joseph U/A 4/20/95, Trust FBO Maxwell Schneider Joseph U/A 4/20/95
Claimant Representative(s): Kerry Brainard Verdi
Respondent(s): Morgan Stanley, Errol Furst, Michael Higgins
Respondent Representative(s): William D. Briendel
Neutral(s): Mary Julia O'Connell, Susan Romano, Peter D.C. Mason
Hearing Site: New York, NY
|
Award | FINRA | 11/17/2025 |
| 25-01236 | Claimant(s): Mark Rose
Claimant Representative(s): Mark Rose
Respondent(s): M&T Securities, Inc.
Respondent Representative(s): Catherine Grantier Cooley
Neutral(s): Mark H. Stein
Hearing Site: Wilmington, DE
|
Award | FINRA | 11/17/2025 |
| 25-01476 | Claimant(s): Kah Seng Lau
Claimant Representative(s): Kah Seng Lau
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): Arocles Aguilar
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/17/2025 |
| 25-01511 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Representative(s): Jessica L. Newman
Respondent(s): Stephen Simpson
Respondent Representative(s): Stephen W. Simpson
Neutral(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
|
Award | FINRA | 11/17/2025 |