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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01602 | Claimant(s): Wayne Robin
Claimant Representative(s): W. Scott Greco
Respondent(s): Newedge Securities, LLC
Respondent Representative(s): Suhani Patel
Neutral(s): Lynne M. Gomez, Robert Sullivan Tyler, Sheryl Norman
Hearing Site: Houston, TX
|
Award | FINRA | 10/22/2026 |
| 23-02648 | Claimant(s): Patricia Desiderio
Claimant Representative(s): Steven D. Toskes
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Theodore R. Snyder
Neutral(s): Michael H. DuBoff, Gregory James Libertiny, Michelle Sue Freudenberger
Hearing Site: Jersey City, NJ
|
Award | FINRA | 10/22/2026 |
| 24-02394 | Claimant(s): Ameriprise Financial Services, LLC
Claimant Representative(s): Scott A. La Porta
Respondent(s): Todd Coker
Respondent Representative(s): William R. Carlisle
Neutral(s): Andy W. Morgan, George Pinckney Shingler
Hearing Site: Atlanta, GA
|
Award | FINRA | 10/22/2026 |
| 26-00896 | Claimant(s): Bradley Vick
Claimant Representative(s): Jonathan M. Sterling
Respondent(s): Northwestern Mutual Investment Services, LLC
Respondent Representative(s): Jenny Yuan
Neutral(s): Barbara Black, Kathy A. Tatone, Darryl C. Wilson
Hearing Site: Minneapolis, MN
|
Award | FINRA | 10/22/2026 |
| 25-02306 | Claimant(s): Karl Tresner
Claimant Representative(s): Tyler Reynolds
Respondent(s): Morgan Stanley
Respondent Representative(s): Elizabeth E. Moum
Neutral(s): Paul E. Dahlman
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 10/22/2026 |
| 25-01653 | Claimant(s): Angelo Constantino, Laurie Roba
Claimant Representative(s): Angelo Constantino
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Frank J. Cuccio
Neutral(s): Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 10/21/2026 |
| 26-00820 | Claimant(s): David Curry
Claimant Representative(s): Heidi VonderHeide
Respondent(s): Arkadios Capital
Respondent Representative(s): Gary Schwartz
Neutral(s): John P. Cullem, Mary Elizabeth Skelnik, Leonard M. Goldstein
Hearing Site: Atlanta, GA
|
Award | FINRA | 10/21/2026 |
| 26-00143 | Claimant(s): Giuseppe Distefano
Claimant Representative(s): Patrick Mahoney
Respondent(s): U.S. Bancorp Investments, Inc.
Respondent Representative(s): Briana Al Taqatqa
Neutral(s): Larry Evert Carlson, Susanne J. Hollander, Betty Chen
Hearing Site: San Francisco, CA
|
Award | FINRA | 10/21/2026 |
| 24-00721 | Claimant(s): Jacqueline Wooten
Claimant Representative(s): Michael C. Bixby
Respondent(s): Henry Liaw
Respondent Representative(s): Henry Liaw
Neutral(s): Michael D. Fitzgerald, Michael Joseph Whealen, Charles E. Woode, FCIArb
Hearing Site: St. Louis, MO
|
Award | FINRA | 10/21/2026 |
| 26-01072 | Claimant(s): Matthew Baker
Claimant Representative(s): Matthew Baker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Richard Harper
Neutral(s): Darryl C. Wilson
Hearing Site: Nashville, TN
|
Award | FINRA | 10/21/2026 |
| 26-01320 | Claimant(s): Barbara Hugi
Claimant Representative(s): Barbara J. Hugi
Respondent(s): Edward Jones, Steven Koch
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Leo G. Stern
Hearing Site: Des Moines, IA
|
Award | FINRA | 10/21/2026 |
| 26-00734 | Claimant(s): Aaron Fairchild
Claimant Representative(s): Dochtor Kennedy MBA
Respondent(s): SECU Brokerage Services
Respondent Representative(s): Matthew Allen Hamilton
Neutral(s): Harvey R. Linder
Hearing Site: Atlanta, GA
|
Award | FINRA | 10/20/2026 |
| 23-03177 | Claimant(s): Jeffrey Cantor
Claimant Representative(s): Debra G. Speyer
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): John Michael Derderian, Joseph J. Dougherty, Julie K. Chapin
Hearing Site: Philadelphia, PA
|
Award | FINRA | 10/20/2026 |
| 25-02057 | Claimant(s): Michael Chiros
Claimant Representative(s): Andrea F. Nuciforo
Respondent(s): Citizens Securities, Inc.
Respondent Representative(s): Andrew H. Smith
Neutral(s): Denise L. Presley
Hearing Site: Boston, MA
|
Award | FINRA | 10/20/2026 |
| 25-02231 | Claimant(s): Marcus Malonson
Claimant Representative(s): Jennifer Cox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishanker
Neutral(s): Paul Lansing, Mark C Watler, Kenneth R. Starr
Hearing Site: Houston, TX
|
Award | FINRA | 10/20/2026 |