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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00703 | Claimant(s): J.P. Morgan Securities, LLC
Claimant Representative(s): Gene Small
Respondent(s): Seth Horowitz
Respondent Representative(s): Seth Horowitz
Neutral(s): Thomas M. Madden
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 25-00760 | Claimant(s): John Sofranko
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Richard J. Grahn, Morris S. Getzels, Karl A. Vogeler
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 08/01/2025 |
| 25-00306 | Claimant(s): Benjamin Fuchs
Claimant Representative(s): David I. Hantman
Respondent(s): Silver Oak Securities, Incorporated
Respondent Representative(s): Bill Reuther
Neutral(s): Lise Gabrielle Hunter, Paul Bennett Marrow, Robert Dean McKinley
Hearing Site: Hartford, CT
|
Award | FINRA | 08/01/2025 |
| 23-02862 | Claimant(s): John Lowry
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Maureen Toale
Neutral(s): Ellyn S. Roth
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 24-02671 | Claimant(s): Maylan Studart-Anders
Claimant Representative(s): David E. Robbins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Sandra J. Mullings, Allan N. Taffet, Christopher J. Klein
Hearing Site: New York, NY
|
Award | FINRA | 07/31/2025 |
| 24-01366 | Claimant(s): Michael Henke
Claimant Representative(s): Lars K. Soreide
Respondent(s): Michael Archimede
Respondent Representative(s): Michael Archimede
Neutral(s): Jerry D. McCormack, Thomas Michael Genovese, Ira Stephen Epstein
Hearing Site: Milwaukee, WI
|
Award | FINRA | 07/31/2025 |
| 25-00605 | Claimant(s): Evellyn Cardenas
Claimant Representative(s): Evellyn Cardenas
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): William M. Turner
Neutral(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
|
Award | FINRA | 07/30/2025 |
| 24-02526 | Claimant(s): Troy Perkins
Claimant Representative(s): William Bean
Respondent(s): Wells Fargo Clearing Services, LLC, Osaic FS, Inc.
Respondent Representative(s): Donnell C. Much, Valerie Holder
Neutral(s): Stuart K. Furman, Marvin L. Schuldiner, Mary Kathleen Coleman
Hearing Site: Houston, TX
|
Award | FINRA | 07/30/2025 |
| 24-01414 | Claimant(s): Maria Solanet
Claimant Representative(s): Matthew L. Jones
Respondent(s): Morgan Stanley
Respondent Representative(s): Brandy Fernandez
Neutral(s): Laura Carraher, Robert J. Buchner, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/29/2025 |
| 23-02321 | Claimant(s): Karen Sanchez, Richard Sanchez, Sanchez Borrowers Holdings, LLC, Karen Suzanne Sanchez as Trustee of the, Richard Sanchez as Trustee of the
Claimant Representative(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam Kauff
Neutral(s): S. Ronald Daniels, Sidney Turner, Mark A. Jacoby
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/29/2025 |
| 24-02478 | Claimant(s): Daniel Whiting, Matthew Whiting
Claimant Representative(s): Brian R. Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Michael J. Meeusen, Howard L. Sobel, Marilee Roberg
Hearing Site: Boston, MA
|
Award | FINRA | 07/29/2025 |
| 24-02178 | Claimant(s): Anthony Meyer
Claimant Representative(s): William Bean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Peter H. Daly, William W. Haskell, Lynne M. Reid-McQueen
Hearing Site: Chicago, IL
|
Award | FINRA | 07/29/2025 |
| 24-02711 | Claimant(s): Konstantin Rusin
Claimant Representative(s): James P. Galvin
Respondent(s): HSBC Securities (USA) Inc.
Respondent Representative(s): Luca Provenzano
Neutral(s): Barry Goldman, John J. Fitzpatrick, Evalyn Lipton Fishbein
Hearing Site: Washington, DC
|
Award | FINRA | 07/29/2025 |
| 23-00992 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Velez
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 07/28/2025 |
| 25-00832 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Representative(s): Andrew M. DeLucia
Respondent(s): Michael Magruder
Respondent Representative(s): Michael Magruder
Neutral(s): Robert H. Putnam
Hearing Site: New Orleans, LA
|
Award | FINRA | 07/28/2025 |