| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-02474 | Claimant(s): Zak Shaik
Claimant Representative(s): Zak Shaik
Respondent(s): Pruco Securities, LLC.
Respondent Representative(s): Caitlin P. Cascino
Neutral(s): Edward W. Morris, Jess A. Bunshaft, Alan Steven Mittleman
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/25/2024 |
| 23-02687 | Claimant(s): Connor Aronis
Claimant Representative(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Michael J Norton
Hearing Site: Wichita, KS
|
Award | FINRA | 04/24/2024 |
| 23-01042 | Claimant(s): Stephen Kiront
Claimant Representative(s): John D. Stewart
Respondent(s): Woodstock Financial Group, Inc.
Respondent Representative(s): William J. Raike
Neutral(s): Peter A. Goldman, Clive I. Morrick, Aymen Aboushi
Hearing Site: New York, NY
|
Award | FINRA | 04/24/2024 |
| 23-00420 | Claimant(s): Leonid Krimotat, Sima Bergelson
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff Beckham
Neutral(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/24/2024 |
| 23-00443 | Claimant(s): Carlos Pou
Claimant Representative(s): Leslie Y. Flores
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Velez
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 04/24/2024 |
| 23-01535 | Claimant(s): Stephen Ferencik
Claimant Representative(s): Michael Kalmus
Respondent(s): Morgan Stanley DW Inc., Triad Advisors LLC, UBS Financial Services Inc.
Respondent Representative(s): Brandy Fernandez, Greg Curley, John Murphy
Neutral(s): Jeffrey Alperin, Christopher R Carroll, Chanteasea Pyron Swain
Hearing Site: Atlanta, GA
|
Award | FINRA | 04/24/2024 |
| 24-00252 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Representative(s): Samuel P. Mauch
Respondent(s): James Czerniak
Respondent Representative(s): James Allen Czerniak
Neutral(s): Susan L. Walker
Hearing Site: Chicago, IL
|
Award | FINRA | 04/24/2024 |
| 23-03198 | Claimant(s): Dean Donohue
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
|
Award | FINRA | 04/24/2024 |
| 19-03270 | Claimant(s): Charles Schwab & Co., Inc.
Claimant Representative(s): Michael R. Greco
Respondent(s): Jacob Williams
Respondent Representative(s): Clinton W. Marrs
Neutral(s): Barbara M. Zak, Marie Ann Stein, Alina Landver
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/23/2024 |
| 23-02134 | Claimant(s): Sandra Scanni
Claimant Representative(s): Sandra Scanni
Respondent(s): NYLife Securities LLC
Respondent Representative(s): Christopher Murdoch
Neutral(s): Joan Maxine Secofsky
Hearing Site: New York, NY
|
Award | FINRA | 04/22/2024 |
| 23-01744 | Claimant(s): Ronald Beckner
Claimant Representative(s): Everett Pritchard
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Michael J Norton
Hearing Site: Denver, CO
|
Award | FINRA | 04/22/2024 |
| 23-01642 | Claimant(s): Maria Giatzikis
Claimant Representative(s): Joseph P. Allgor
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Representative(s): Christopher C. Coss
Neutral(s): Bryan Lane Berson
Hearing Site: New York, NY
|
Award | FINRA | 04/19/2024 |
| 23-01309 | Claimant(s): Eli Ward
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): David A. Schuler
Hearing Site: Kansas City, MO
|
Award | FINRA | 04/19/2024 |
| 23-03037 | Claimant(s): Gerard Costello
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Andrew M. Schmertz
Hearing Site: New York, NY
|
Award | FINRA | 04/19/2024 |
| 23-03051 | Claimant(s): Sanford C. Bernstein & Co., LLC, AllianceBernstein, L.P.
Claimant Representative(s): Christopher C. Coss
Respondent(s): Charles Lynch, Elijah Dornstreich, UBS Financial Services Inc., Ryan DePaul
Respondent Representative(s): Gary J. Lieberman, James L. Komie
Neutral(s): Richard Lewis Zack, Colin Bell, Hope A. Comisky
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/19/2024 |
