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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00377 | Claimant(s): Christiana Webb
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Representative(s): Kimberly J. Gustafson
Neutral(s): Susan C. Lushing, Dianne Marie Onichimowski, Matthew Stephen Duchesne
Hearing Site: Atlanta, GA
|
Award | FINRA | 03/02/2026 |
| 24-02417 | Claimant(s): Yvan Cao
Claimant Representative(s): Elizabeth Fellmeth
Respondent(s): Edward Jones
Respondent Representative(s): Eric A. Michaels
Neutral(s): Roger M. Deitz, Randy R. Maher, Donna Ross Philip
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/02/2026 |
| 25-00190 | Claimant(s): Carson Strategic Management LLC, Carson Strategic Derivatives, L.P.
Claimant Representative(s): Steve A. Miller
Respondent(s): Marex Capital Markets Inc.
Respondent Representative(s): Brian J. Poronsky
Neutral(s): Michael David Broder, Ruth M. Moore, Francis Vincent Cristiano
Hearing Site: Denver, CO
|
Award | FINRA | 03/02/2026 |
| 09-03564 | Claimant(s): Mark D. Oge and Linda K. Oge
Claimant Representative(s): Robert V. Cornish
Respondent(s): James Cox
Respondent Representative(s): James Keith Cox
Neutral(s): William John Sommers, Jacqueline Mae Goldberg, Lynn L. Lightfoot
Hearing Site: New Orleans, LA
|
Award | FINRA | 03/02/2026 |
| 25-01450 | Claimant(s): Kevin Bailey
Claimant Representative(s): Gordon C. Young
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett R. Wynne
Neutral(s): Patricia Ann Tracey, Barry David Thorpe, Susan L. Walker
Hearing Site: Phoenix, AZ
|
Award | FINRA | 02/27/2026 |
| 25-02136 | Claimant(s): Lawrence Davis
Claimant Representative(s): Lawrence A. Davis
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Alan D. Romero
Neutral(s): William W. Haskell
Hearing Site: Honolulu, HI
|
Award | FINRA | 02/27/2026 |
| 25-01168 | Claimant(s): Karl Jones
Claimant Representative(s): Karl Lorenzo Jones
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kevin S. Blume
Neutral(s): Karen Roberts Washington
Hearing Site: Houston, TX
|
Award | FINRA | 02/27/2026 |
| 24-02598 | Claimant(s): Alexa Marchisotto, Jonathan Marchisotto, Michael Marchisotto
Claimant Representative(s): Felicia D. Marchisotto
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Frank J. Cuccio
Neutral(s): Jeffrey Alan Helewitz, Howard Alan Grinsberg, Kevin K Walsh
Hearing Site: Jersey City, NJ
|
Award | FINRA | 02/27/2026 |
| 24-02667 | Claimant(s): Joseph Rallo
Claimant Representative(s): Joshua Klein
Respondent(s): D. Boral Capital
Respondent Representative(s): Jay K. Musoff
Neutral(s): Kimberly C. Lawrence, Harvey E. Benjamin, Angela Jameson
Hearing Site: New York, NY
|
Award | FINRA | 02/27/2026 |
| 25-02263 | Claimant(s): Robert Cohen
Claimant Representative(s): Theodore R. Snyder
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Jeffrey C. Primiano
Neutral(s): Ted M. Rosen, Richard E. Lauziere, Marilee Roberg
Hearing Site: New York, NY
|
Award | FINRA | 02/26/2026 |
| 25-00645 | Claimant(s): Margaret Santiago
Claimant Representative(s): Michael C. Bixby
Respondent(s): Glenn Romer, Center Street Securities, Inc.
Respondent Representative(s): Glenn J Romer, Unbo Chung
Neutral(s): Sidney J. Wartel, Nofrey Matthew Fornaro, Santarvis Brown
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/25/2026 |
| 25-01146 | Claimant(s): Edward Bacher
Claimant Representative(s): Jennifer Cox
Respondent(s): Voya Financial Advisors, Inc.
Respondent Representative(s): Benjamin J. Biard
Neutral(s): F. Guthrie Castle, Mary C. Davis, Christopher M. McMurray
Hearing Site: Columbus, OH
|
Award | FINRA | 02/25/2026 |
| 25-01674 | Claimant(s): Jared Hoffman
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): James W. Kerr, Robert J. Buchner, Geoffrey A. Drucker
Hearing Site: Columbus, OH
|
Award | FINRA | 02/25/2026 |
| 24-02390 | Claimant(s): Mark Aizenberg, Timothy Johnson
Claimant Representative(s): Jeremy S Millstone
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Kenneth J. Turnbull
Neutral(s): Helen Marinak Blohm, Carol Ann Jensen, Ralph L. Jacobson
Hearing Site: San Francisco, CA
|
Award | FINRA | 02/25/2026 |
| 25-02104 | Claimant(s): Mario Manniello
Claimant Representative(s): Mario Manniello
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Mark H. Schiff
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/24/2026 |