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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-02673 | Claimant(s): Wu Pei Fang
Claimant Representative(s): Charley Wu
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Mark G. Materna
Neutral(s): Mary Mackey
Hearing Site: San Francisco, CA
|
Award | FINRA | 08/26/2025 |
| 23-00002 | Claimant(s): Beth Yudin, Ross Yudin
Claimant Representative(s): Todd A. Zuckerbrod
Respondent(s): J.P. Morgan Securities, LLC, Jason Gopen
Respondent Representative(s): Mark L. Parmelee
Neutral(s): Howard L. Sobel, Howard D. Jacob, Jeffrey Zuckerman
Hearing Site: New York, NY
|
Award | FINRA | 08/26/2025 |
| 24-01847 | Claimant(s): Harry Gingold
Claimant Representative(s): Harry Gingold
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Representative(s): Scott N. Sherman
Neutral(s): Jeffry M. Bauer, Stanley Yorsz, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 08/25/2025 |
| 25-00170 | Claimant(s): Jennifer Germano
Claimant Representative(s): Jennifer L. Germano
Respondent(s): Dehaven Becker, Raymond James Financial Services, Inc., Steward Partners Investment Solutions LL
Respondent Representative(s): Michael S. Lamont, Michael T. Roche
Hearing Site: Denver, CO
|
Award | FINRA | 08/25/2025 |
| 24-01090 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): William Vlahoulis
Respondent Representative(s): Devin W. Bone
Neutral(s): Leslie J. Filson, Bernadette F. Rasmussen, Arlene Simon Backman
Hearing Site: Charlotte, NC
|
Award | FINRA | 08/22/2025 |
| 24-02200 | Claimant(s): OSAIC Wealth, Inc
Claimant Representative(s): Jennifer R. Cox
Respondent(s): Cole Jaeschke
Respondent Representative(s): David R. Chase
Neutral(s): Douglas J. Nesbit
Hearing Site: Des Moines, IA
|
Award | FINRA | 08/22/2025 |
| 25-00858 | Claimant(s): Russell Green
Claimant Representative(s): James Baehr
Respondent(s): Cabot Lodge Securities LLC
Respondent Representative(s): William Webb
Neutral(s): Erik R. Siering, Neil S. Jasper, Susan L. Luck
Hearing Site: New York, NY
|
Award | FINRA | 08/22/2025 |
| 24-01241 | Claimant(s): James Conway for his IRA
Claimant Representative(s): Steven D. Toskes
Respondent(s): James McArthur, Vincent Camarda, A.G. Morgan Financial Advisors, LLC
Respondent Representative(s): James Edward McArthur, Vincent Jerome Camarda
Neutral(s): Louis David Huss, Erika Deutsch Rotbart, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|
Award | FINRA | 08/22/2025 |
| 25-00171 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Representative(s): Timothy N. Will
Respondent(s): Antoine Souma
Respondent Representative(s): Antoine Nabih Souma
Neutral(s): Benjamin F. Breslauer, James Henri Pike, Linda M Iannone
Hearing Site: Los Angeles, CA
|
Award | FINRA | 08/22/2025 |
| 24-01558 | Claimant(s): Boniface Lubin, Ernie Samuel
Claimant Representative(s): Ernie Samuel
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Joseph L. Calabrese
Neutral(s): Jack Stein, Barry David Thorpe, Richard C Petryk
Hearing Site: Boca Raton, FL
|
Award | FINRA | 08/21/2025 |
| 24-01601 | Claimant(s): Nicolas Shaffer
Claimant Representative(s): Michael Bessette
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Leah Murray Albert, Patrick R. Sughroue, James Aaron Morrow
Hearing Site: Indianapolis, IN
|
Award | FINRA | 08/21/2025 |
| 24-01091 | Claimant(s): Bryan Schon, Michael Dymkowski
Claimant Representative(s): John B. Pinney
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney LLC
Respondent Representative(s): Tracy L. Gerber
Neutral(s): Tracy L. Allen, O'Neal Oliver Wright, Phillip Rodger Patterson
Hearing Site: Detroit, MI
|
Award | FINRA | 08/21/2025 |
| 24-01628 | Claimant(s): Equitable Advisors, LLC, Equitable Network, LLC
Claimant Representative(s): Amanda Sotak
Respondent(s): Richard Logalbo
Respondent Representative(s): Seth I. Rubinson
Neutral(s): Carol Maria Luttati, Barbara Res, Michael Davies
Hearing Site: Jersey City, NJ
|
Award | FINRA | 08/21/2025 |
| 23-02726 | Claimant(s): US Capital Advisors, LLC, US Capital Wealth Advisors, LLC, USCA Management LLC, USCA RIA Investors, LLC, USCA Securities LLC
Claimant Representative(s): Gary Cruciani
Respondent(s): David Harris
Respondent Representative(s): Robin L. Harrison
Neutral(s): Mark C Watler, Brian James Tagtmeier, Gary Jason Fischman
Hearing Site: Houston, TX
|
Award | FINRA | 08/21/2025 |
| 25-00534 | Claimant(s): Eliah Ewing
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Douglas M. Branson, Robert G. Falbisaner, Peter M. Cosel
Hearing Site: Tampa, FL
|
Award | FINRA | 08/21/2025 |