For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01949 | Claimant(s): Juli Hang, Juli Hang IRA
Claimant Representative(s): Samuel B. Edwards
Respondent(s): Cetera Investment Services, LLC.
Respondent Representative(s): Chad Weaver
Neutral(s): Adam Michael Porter, Peter J Cohen, Linda M. Blank
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/02/2026 |
| 24-00310 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Chad Bushaw
Respondent Representative(s): Paul D. Flack
Neutral(s): Jill M. Zacha, John Kenneth Popham, Charles McGarry
Hearing Site: Dallas, TX
|
Award | FINRA | 10/02/2026 |
| 26-01240 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LLC
Claimant Representative(s): Jennifer Tomsen
Respondent(s): Calvin Shiu
Respondent Representative(s): Calvin Shiu
Neutral(s): Arocles Aguilar
Hearing Site: San Francisco, CA
|
Award | FINRA | 10/02/2026 |
| 25-02404 | Claimant(s): Joel Angeles
Claimant Representative(s): Joel P. Angeles
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Sara B. Davis
Neutral(s): Mary Mackey
Hearing Site: San Francisco, CA
|
Award | FINRA | 10/02/2026 |
| 26-00385 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): John Wesley Holston
Respondent(s): Anne Satterfield
Respondent Representative(s): Bradley M. Kirklin
Neutral(s): Langfred W. White
Hearing Site: Raleigh, NC
|
Award | FINRA | 10/02/2026 |
| 26-00530 | Claimant(s): Hamid Khan
Claimant Representative(s): Hamid R. Khan
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett S. Wynne
Neutral(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/02/2026 |
| 25-01613 | Claimant(s): Frank Mastropaolo
Claimant Representative(s): Adam J. Weinstein
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Alise M. Johnson
Neutral(s): Sandra J. Mullings, Ann Judith Gellis, Edmund Timothy Donovan
Hearing Site: New York, NY
|
Award | FINRA | 10/01/2026 |
| 24-02345 | Claimant(s): JMT Limited Liability Co
Claimant Representative(s): Kristian Kraszewski
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Alan D. Romero
Neutral(s): Renee Bryna Gerstman, Darren A Prum, Adrienne Donel
Hearing Site: Las Vegas, NV
|
Award | FINRA | 10/01/2026 |
| 26-00690 | Claimant(s): Hsiaolan Chiao
Claimant Representative(s): Hsiaolan Chiao
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Efrat Cohen
Neutral(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
|
Award | FINRA | 10/01/2026 |
| 25-01471 | Claimant(s): Robert McAllister
Claimant Representative(s): Alex Padla
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeffrey Paul Palmer
Neutral(s): Renee Bryna Gerstman
Hearing Site: Denver, CO
|
Award | FINRA | 10/01/2026 |
| 25-01891 | Claimant(s): Matthew McDonald
Claimant Representative(s): Alex Padla
Respondent(s): Sigma Financial Corporation
Respondent Representative(s): Jonathan M. Sterling
Neutral(s): Martin A. Feigenbaum, Daniel B. MacLeod, Michael J. Henke
Hearing Site: Detroit, MI
|
Award | FINRA | 09/30/2026 |
| 26-00950 | Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Myra C. Mormile-Wolper
Respondent(s): Ryan Alassaad
Respondent Representative(s): Ryan Alassaad
Neutral(s): Andrea U. Calve
Hearing Site: Dallas, TX
|
Award | FINRA | 09/30/2026 |
| 23-03615 | Respondent(s): Shayna Weitz, TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz, Shayna Weitz
Neutral(s): William Kent Brown, Mark A. Bilawsky, Stephanie Reed Traband
Hearing Site: Boca Raton, FL
|
Award | FINRA | 09/29/2026 |
| 26-01117 | Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Myra C. Mormile-Wolper
Respondent(s): Mehran Khavarian
Respondent Representative(s): Mehran Khavarian
Neutral(s): David Aaron DeSoto
Hearing Site: Houston, TX
|
Award | FINRA | 09/29/2026 |
| 26-01160 | Claimant(s): Patrick Bedgood
Claimant Representative(s): Patrick E. Bedgood
Respondent(s): Robinhood Financial, LLC, Fidelity Brokerage Services LLC
Respondent Representative(s): Erin Sinclair, Simeon Schopf
Neutral(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
|
Award | FINRA | 09/29/2026 |