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 |
|---|---|---|---|---|
| 23-01003 | 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): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 12/17/2025 |
| 24-00575 | Claimant(s): Future Financial Planners, Inc.
Claimant Representative(s): Thomas B. Slocum
Respondent(s): Ilya Khalavsky, Prospera Financial Services, Inc., TFS Securities, Inc., Endurance Wealth Partners
Respondent Representative(s): Matthew N. Fiorovanti, Shea Hicks
Neutral(s): Michael H. DuBoff, Jon Martino, Lourdes Gomez
Hearing Site: Jersey City, NJ
|
Award | FINRA | 12/16/2025 |
| 24-02472 | Claimant(s): Francesca Hector-Jones
Claimant Representative(s): Francesca Hector-Jones
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): Christopher M. McMurray, Matthew Stephen Duchesne, Fatu Suah
Hearing Site: Richmond, VA
|
Award | FINRA | 12/16/2025 |
| 22-02191 | Claimant(s): Fermin Suarez, High & Future Investment Fund SA, LLC
Claimant Representative(s): Michael D. Padula
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): George D. Sullivan
Neutral(s): Steven N. Ainbinder, Gloria O. North, Cheryl Anne Snedeker
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/16/2025 |
| 25-00498 | Claimant(s): Craig Savage
Claimant Representative(s): William Bean
Respondent(s): Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC
Respondent Representative(s): John Murphy, Scott N. Sherman
Neutral(s): Lawrence E. Dube, Paul Lansing, Erik R. Siering
Hearing Site: Atlanta, GA
|
Award | FINRA | 12/15/2025 |
| 25-00692 | Claimant(s): Shelley Olschefski
Claimant Representative(s): Peter Lindholm
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): David A. Schuler
Hearing Site: Dallas, TX
|
Award | FINRA | 12/15/2025 |
| 25-01597 | Claimant(s): 220 Oak Knoll Inc.
Claimant Representative(s): Karol Raszkiewicz
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): Joseph C. Roberts
Hearing Site: Anchorage, AK
|
Award | FINRA | 12/15/2025 |
| 25-01846 | Claimant(s): Gregg Gelber
Claimant Representative(s): David I. Hantman
Respondent(s): Morgan Stanley, Oppenheimer & Co., Inc.
Respondent Representative(s): Alexa P. Saberito, Brandy Fernandez
Neutral(s): Mark S. Foster, Avery B. Goodman, Alden Sharp Adkins
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/12/2025 |
| 23-03341 | Claimant(s): VALIC Financial Advisors, Inc.
Claimant Representative(s): Matthew I. Penfield
Respondent(s): Rodney Van Buren, Whitney Colton
Respondent Representative(s): Scott D. Widerman
Neutral(s): John Briggs, Lewis Gordon Brewer, Melissa L. Wheaton
Hearing Site: Orlando, FL
|
Award | FINRA | 12/12/2025 |
| 24-01310 | Claimant(s): James Naify
Claimant Representative(s): Jeffrey K. Riffer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., B of A Securities, Inc.
Respondent Representative(s): Jason E. Murtagh
Neutral(s): Robert C. Albini, Steven H. Gentry, Jon Robert Daurio
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/12/2025 |
| 24-00822 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Representative(s): Sara Soto
Respondent(s): Jayson Pocius
Respondent Representative(s): Jayson Robert Pocius
Neutral(s): John William Kenesey
Hearing Site: Chicago, IL
|
Award | FINRA | 12/12/2025 |
| 25-00266 | Claimant(s): Cenezhana Rokhaneevna
Claimant Representative(s): Cenezhana Rokhaneevna
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Matthew P. Fischer
Neutral(s): Rick L. Knuth, Linda M. Edwards, Jon Richard Catten
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 12/11/2025 |
| 25-01382 | Claimant(s): Heather O'Neill
Claimant Representative(s): Kathy Klock
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Jennifer Cox
Neutral(s): Steven R. Reininger, Leslie L. Cooney, Brian James Tagtmeier
Hearing Site: Chicago, IL
|
Award | FINRA | 12/10/2025 |
| 24-02117 | Claimant(s): Neil Mehta
Claimant Representative(s): Alex Padla
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Sarah Henderson
Neutral(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/10/2025 |
| 24-02229 | Claimant(s): Fred Avalli
Claimant Representative(s): Alex Padla
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Sarah Henderson
Neutral(s): David I. Levine
Hearing Site: San Francisco, CA
|
Award | FINRA | 12/10/2025 |