Award Document | Case Summary | Document Type | Forum | Date of Award |
---|---|---|---|---|
23-02497 | Claimant(s): Patrick Durst
Claimant Representative(s): Brian Luther
Respondent(s): Lifemark Securities Corp.
Respondent Representative(s): Alex Georgiev
Neutral(s): Michael F. Jordan
Hearing Site: Denver, CO
|
Award | FINRA | 05/17/2024 |
20-00336 | Claimant(s): Eduardo Augsten, Eduardo Augsten, as S.H. Wealthengage, Wealthengage, Inc.
Claimant Representative(s): Jeffrey R. Sonn
Respondent(s): Gustavo Vega
Respondent Representative(s): Javier J. Rodriguez
Neutral(s): Paul J. Burkhart, Marie Katz, Franchesca Caminero
Hearing Site: Boca Raton, FL
|
Award | FINRA | 05/17/2024 |
23-01493 | Claimant(s): Glen Strauss
Claimant Representative(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, LLC, Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok, Geoff Beckham
Neutral(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
|
Award | FINRA | 05/17/2024 |
22-00990 | Claimant(s): Diane Jones, Huxley Richardson, Larry Marple, William Struwe
Claimant Representative(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Representative(s): Jonathan D. Neerman
Neutral(s): Thomas J. LoSavio, Philip Aaron Tymon, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
|
Award | FINRA | 05/17/2024 |
23-01550 | Claimant(s): Equitable Advisors, LLC, Equitable Network, LLC
Claimant Representative(s): Amanda Sotak
Respondent(s): Wentworth Gardner
Respondent Representative(s): Alexander Padla
Neutral(s): John P. Cullem
Hearing Site: Tampa, FL
|
Award | FINRA | 05/17/2024 |
23-03013 | Claimant(s): Federico Lopez Juarbe
Claimant Representative(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Velez
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 05/17/2024 |
23-03357 | Claimant(s): Julie Ginn
Claimant Representative(s): Julie A. Ginn
Respondent(s): Anne Whelan, Daniel Morato, Wells Fargo Clearing Services, LLC
Respondent Representative(s): Mark A. Pratzel
Hearing Site: Birmingham, AL
|
Award | FINRA | 05/17/2024 |
23-01807 | Claimant(s): Timothy Kenska
Claimant Representative(s): David I. Hantman
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam M. Kauff
Neutral(s): Mark R. Lee
Hearing Site: San Diego, CA
|
Award | FINRA | 05/16/2024 |
24-00243 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Jason D. Evans
Respondent(s): Carol Miller
Respondent Representative(s): Carol Suzanne Miller
Neutral(s): Arthur H. Geffen
Hearing Site: Dallas, TX
|
Award | FINRA | 05/16/2024 |
23-02338 | Claimant(s): Steven Mogul
Claimant Representative(s): Craig A. Riha
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
|
Award | FINRA | 05/16/2024 |
23-01838 | Claimant(s): Scott Brantingson, Monocacy Wealth Partners LLC
Claimant Representative(s): Paul D. Flack
Respondent(s): Nicole Sennett, Sennett & Associates Wealth Group Ltd
Respondent Representative(s): Leigh Ann Buziak
Neutral(s): Laura A. Kaster, Kurt Birchler, Margaret F Creed
Hearing Site: Philadelphia, PA
|
Award | FINRA | 05/16/2024 |
23-02125 | Claimant(s): NewBridge Securities Corp.
Claimant Representative(s): Gregg J. Breitbart
Respondent(s): John Boatright
Respondent Representative(s): John Richard Boatright
Neutral(s): Harvey R. Linder
Hearing Site: Atlanta, GA
|
Award | FINRA | 05/16/2024 |
23-02740 | Claimant(s): Donald Durando
Claimant Representative(s): Joshua Kons
Respondent(s): PHX Financial, Inc.
Respondent Representative(s): Kevin Chen
Neutral(s): Laura Carraher, Nancy Kramer, Maurice W Heller
Hearing Site: New York, NY
|
Award | FINRA | 05/16/2024 |
23-01397 | Claimant(s): Liliana Molina
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Spire Securities, LLC
Respondent Representative(s): Feisal A. Malik
Neutral(s): Patricia H. Latham
Hearing Site: Washington, DC
|
Award | FINRA | 05/16/2024 |
23-01411 | Claimant(s): John Thomas
Claimant Representative(s): Harris Freedman
Respondent(s): G.F. Investment Services, LLC
Respondent Representative(s): Larry Yager
Neutral(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
|
Award | FINRA | 05/16/2024 |