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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-02753 | Claimant(s): Lynne Malkoff
Claimant Representative(s): Richard H. Elliott
Respondent(s): J.P. Morgan Securities, LLC, Ihab Elibiary
Respondent Representative(s): Jennifer Tomsen
Neutral(s): Karen Roberts Washington, Michael Wayne Johnston, Melissa Nycole Hearon
Hearing Site: Dallas, TX
|
Award | FINRA | 07/02/2025 |
| 23-02396 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Frank J. Cuccio
Respondent(s): Hoss Esmaeili
Respondent Representative(s): Hoss Esmaeili
Neutral(s): Langfred W. White
Hearing Site: Raleigh, NC
|
Award | FINRA | 07/02/2025 |
| 23-01971 | Claimant(s): Allen Hassan
Claimant Representative(s): David S. Harrison
Respondent(s): BTIG, LLC
Respondent Representative(s): Christopher J. Collins
Neutral(s): Terrance J. Nolan, Andrew Evan Gelfand, Meredith R. Miller
Hearing Site: New York, NY
|
Award | FINRA | 07/02/2025 |
| 25-00340 | Claimant(s): Michael Hardy
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): William A. Barrett, Karen Roberts Washington, Edmund Timothy Donovan
Hearing Site: San Francisco, CA
|
Award | FINRA | 07/01/2025 |
| 25-00120 | Claimant(s): Brannon Johnson, Jeffrey Johnson, Jonathan Beukelman
Claimant Representative(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Richard P. Regan, Charles Earle Riggs, Debra Black Leo
Hearing Site: Denver, CO
|
Award | FINRA | 07/01/2025 |
| 24-02593 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Pawel Maziarz
Respondent(s): Sterling Lane
Respondent Representative(s): Sterling Lane
Neutral(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/01/2025 |
| 24-00684 | Claimant(s): Jonte Harrell
Claimant Representative(s): Brian J Farrar
Respondent(s): Drexel Hamilton, LLC
Respondent Representative(s): Michael Eisenberg
Neutral(s): Martin A. Feigenbaum, John H. Foster, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|
Award | FINRA | 06/30/2025 |
| 23-02553 | Claimant(s): Collette Haubrich, J. Haubrich
Claimant Representative(s): J. Michael Haubrich
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Shannon Wheaton
Neutral(s): Thomas J. Ray
Hearing Site: St. Louis, MO
|
Award | FINRA | 06/30/2025 |
| 20-01408 | Claimant(s): John Hammond
Claimant Representative(s): John Hammond
Respondent(s): Edward Jones
Respondent Representative(s): Bentley P. Stansbury
Neutral(s): Andrew M. Mintzer, Kendall C. Reed, Barry A. Fisher
Hearing Site: Las Vegas, NV
|
Award | FINRA | 06/30/2025 |
| 24-01556 | Claimant(s): Angela Lucas
Claimant Representative(s): William McAllister
Respondent(s): David Haufe, Erik Swanson, Simplex Trading, LLC
Respondent Representative(s): Christian T. Kemnitz
Neutral(s): Arne R. Rode, Myra Costello, Kenneth Philip Ross
Hearing Site: Chicago, IL
|
Award | FINRA | 06/27/2025 |
| 24-02582 | Claimant(s): OSAIC Wealth, Inc
Claimant Representative(s): Jennifer R. Cox
Respondent(s): Michael McMahon
Respondent Representative(s): Michael Brett McMahon
Neutral(s): G. Maynard Green
Hearing Site: Houston, TX
|
Award | FINRA | 06/27/2025 |
| 24-01853 | Claimant(s): Teddy James
Claimant Representative(s): Teddy D. James
Respondent(s): Morgan Stanley
Respondent Representative(s): Andrew Joyce
Neutral(s): Loretta Yin
Hearing Site: Jersey City, NJ
|
Award | FINRA | 06/27/2025 |
| 24-00061 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Robert Padgett
Respondent Representative(s): Brian D. Buckstein
Neutral(s): Mark A. Bilawsky, Isadora Velazquez-Rivas, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
|
Award | FINRA | 06/27/2025 |
| 24-02209 | Claimant(s): Kevin Cuthill
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Diane Ciccone
Hearing Site: Philadelphia, PA
|
Award | FINRA | 06/27/2025 |
| 23-02636 | Claimant(s): Paul Barrett
Claimant Representative(s): Jenice L. Malecki
Respondent(s): Citigroup Global Markets, Inc., Citi Private Advisory, LLC
Respondent Representative(s): Andrew J. Ehrlich
Neutral(s): Keely D. Parr, Terrance J. Nolan, Pamela C. Watson
Hearing Site: New York, NY
|
Award | FINRA | 06/27/2025 |