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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-02114 | Claimant(s): Matthew Delpriore
Claimant Representative(s): Austin Davis
Respondent(s): MML Investors Services, LLC, MSI Financial Services, Inc.
Respondent Representative(s): Julie E. Ravis
Neutral(s): Ted M. Rosen, Douglas Earl McLaren, Sidney J. Wartel
Hearing Site: Jersey City, NJ
|
Award | FINRA | 05/08/2025 |
| 24-01930 | Claimant(s): Jeffrey Morris
Claimant Representative(s): Harris Freedman
Respondent(s): Moloney Securities Co., Inc.
Respondent Representative(s): Matthew D. Turner
Neutral(s): Martin A. Feigenbaum, Howard N. Gorney, Mary Kathleen Coleman
Hearing Site: Denver, CO
|
Award | FINRA | 05/07/2025 |
| 25-00191 | Claimant(s): Alexander Phillips
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): David L. Ruderman, Robert J. Gregory, Michael Evan Beckman
Hearing Site: Los Angeles, CA
|
Award | FINRA | 05/06/2025 |
| 24-01279 | Claimant(s): Raymond James & Associates, Inc.
Claimant Representative(s): Todd Ratner
Respondent(s): Joshua Pruitt
Respondent Representative(s): Joshua M. Pruitt
Neutral(s): Andrew Kennon Jennings
Hearing Site: Atlanta, GA
|
Award | FINRA | 05/06/2025 |
| 23-02343 | Claimant(s): Rita Berk
Claimant Representative(s): Brandon J. Klar
Respondent(s): Alex Stolper, Wells Fargo Clearing Services, LLC
Respondent Representative(s): Paul Yarns
Neutral(s): James M. Stern, Jane A. Smith, Nellie Ferguson Quinn
Hearing Site: St. Louis, MO
|
Award | FINRA | 05/05/2025 |
| 24-01585 | Claimant(s): Jon Lindenberg
Claimant Representative(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Jeffery D. Rodgers, Jr.
Neutral(s): Robert H. Putnam, Nicholas John Taldone, Albert Rizzo
Hearing Site: Boca Raton, FL
|
Award | FINRA | 05/05/2025 |
| 23-02300 | Claimant(s): LPL Financial LLC
Claimant Representative(s): Rick Smith
Respondent(s): Eric Demarcus
Respondent Representative(s): Eric Grant Demarcus
Neutral(s): Thomas E. Mulvihill, Jonathan H. Krotinger, Lawrence R. Mills
Hearing Site: San Francisco, CA
|
Award | FINRA | 05/05/2025 |
| 24-02422 | Claimant(s): Lisa Turner
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Representative(s): Gordon C. Young
Neutral(s): Terry M Lloyd
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 05/05/2025 |
| 24-02635 | Claimant(s): Brendan O'Connell
Claimant Representative(s): Jason Kane
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kimberley Lunetta
Neutral(s): Randy Jeff Branitsky, John Francis Bell, Allan David Poteshman
Hearing Site: Baltimore, MD
|
Award | FINRA | 05/05/2025 |
| 24-02379 | Claimant(s): Elizabeth Cambareri
Claimant Representative(s): Josef Y. Rosen
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D Meyr
Neutral(s): M W Gear, Richard J. Kaplan, Jane C. Carney
Hearing Site: Jacksonville, FL
|
Award | FINRA | 05/05/2025 |
| 24-00830 | Claimant(s): Jake Gross
Claimant Representative(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kathryn D. Perrault
Neutral(s): Richard W. Cutler, Jeffrey Alan Helewitz, James Crane Sweeney
Hearing Site: New York, NY
|
Award | FINRA | 05/02/2025 |
| 24-01997 | Claimant(s): Elizabeth Sum-Slaughter
Claimant Representative(s): Chelsea Bauer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Dietrich Perreault
Neutral(s): Michael J. Ahlstrom, Peter N. Thompson, Gregory G. Gocek
Hearing Site: Raleigh, NC
|
Award | FINRA | 05/02/2025 |
| 24-01701 | Claimant(s): Marcus Troup
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Farmers Financial Solutions, LLC
Respondent Representative(s): Edwin A. Barkel
Neutral(s): Michael S. Jordan
Hearing Site: Kansas City, MO
|
Award | FINRA | 05/02/2025 |
| 23-00070 | Claimant(s): Brandon Moses
Claimant Representative(s): John B. Veach
Respondent(s): LPL Financial LLC
Respondent Representative(s): Cory E. Manning
Neutral(s): Irlanda Ruiz, Katherine E. Fath, Sean P. Smith
Hearing Site: Charlotte, NC
|
Award | FINRA | 05/02/2025 |
| 23-03557 | Claimant(s): Edward Epperson, Miriam Epperson
Claimant Representative(s): Matthew N. Thibaut
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Christopher A. Stecher
Neutral(s): Thomas A. Peterson, Bryan Thomas Di Lella, Robert Dean McKinley
Hearing Site: Phoenix, AZ
|
Award | FINRA | 05/02/2025 |