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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00053 | Claimant(s): Kenneth Andrew Janello Estate
Claimant Representative(s): Amy E Sturge
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Daniel Robbins, Harold Wade Lavender, Robyn M Hill
Hearing Site: Albuquerque, NM
|
Award | FINRA | 11/26/2025 |
| 25-00576 | Claimant(s): Neil Grant
Claimant Representative(s): Peter Lindholm
Respondent(s): Morgan Stanley
Respondent Representative(s): Olaniyi Solebo
Neutral(s): Paul H. Lamboley, Cheryl H. Agris, Michael A. Orticelle
Hearing Site: Dallas, TX
|
Award | FINRA | 11/26/2025 |
| 24-02496 | Claimant(s): Lewis Morris and Pamela Morris
Claimant Representative(s): Pamela Morris
Respondent(s): Gregory Mueller, Robert Mueller
Respondent Representative(s): Jonathan M. Sterling
Neutral(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
|
Award | FINRA | 11/25/2025 |
| 25-01102 | Claimant(s): Ronald Martin
Claimant Representative(s): Anthony J. Durone
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Eric A. Michaels
Neutral(s): Dora M. Lassinger, Daniel B. MacLeod, Ira A. Auerbach
Hearing Site: St. Louis, MO
|
Award | FINRA | 11/25/2025 |
| 24-02251 | Claimant(s): Ameriprise Financial Services, LLC, Ameriprise Captive Insurance Company
Claimant Representative(s): Danya W. Blair
Respondent(s): Dusty Sternadel
Respondent Representative(s): Dusty Lynn Sternadel
Neutral(s): James W. Kerr, John Kenneth Popham, Christopher John Rowland
Hearing Site: Dallas, TX
|
Award | FINRA | 11/25/2025 |
| 24-02398 | Claimant(s): William Evans
Claimant Representative(s): Owen Harnett
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): David A. Schuler
Hearing Site: Houston, TX
|
Award | FINRA | 11/25/2025 |
| 24-02068 | Claimant(s): James Harding
Claimant Representative(s): Alex Padla
Respondent(s): Morgan Stanley
Respondent Representative(s): Alan D. Romero
Neutral(s): Langfred W. White, James R. McGuone, Val D. Hornstein
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/25/2025 |
| 24-02086 | Claimant(s): William Hennion
Claimant Representative(s): Jennifer B. Woods Burke
Respondent(s): Hennion & Walsh, Inc.
Respondent Representative(s): Jennifer B. Woods Burke
Neutral(s): Stephany Adriene Watson, Robert J. Gregory, Gregory J. Getz
Hearing Site: Jersey City, NJ
|
Award | FINRA | 11/25/2025 |
| 24-00543 | Claimant(s): Bluefin Research Partners, Inc.
Claimant Representative(s): Philip M. Giordano
Respondent(s): Brian Kritzer, Gerald Battista, Paul Peterson, Rebecca Duval
Respondent Representative(s): Jason J. Kane, Philip M. Giordano
Neutral(s): Richard J. Grahn, Christine Horan, Elise Frost Alair
Hearing Site: Boston, MA
|
Award | FINRA | 11/25/2025 |
| 24-00543 | Claimant(s): Bluefin Research Partners, Inc.
Claimant Representative(s): Philip M. Giordano
Respondent(s): Brian Kritzer, Gerald Battista, Paul Peterson, Rebecca Duval
Respondent Representative(s): Jason J. Kane, Philip M. Giordano
Neutral(s): Richard J. Grahn, Christine Horan, Elise Frost Alair
Hearing Site: Boston, MA
|
Motion to Vacate | FINRA | 11/25/2025 |
| 25-00273 | Claimant(s): Parker King
Claimant Representative(s): Alex Padla
Respondent(s): Western International Securities, Inc.
Respondent Representative(s): Mary Simonson
Neutral(s): Janice L. Sperow, Ralph L. Jacobson, Dianne Marie Onichimowski
Hearing Site: Denver, CO
|
Award | FINRA | 11/24/2025 |
| 25-01141 | Claimant(s): Sandro Olivos
Claimant Representative(s): Kathy M. Klock
Respondent(s): Ocean Financial Services, LLC
Respondent Representative(s): Kathy M. Klock
Neutral(s): Peter Ordower, Thomas P. Valenti, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
|
Award | FINRA | 11/24/2025 |
| 25-01269 | Claimant(s): Shawn Manuel
Claimant Representative(s): David B. Cosgrove
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Greg Curley
Neutral(s): Barry H. Barnett, Vincent C. Pangia, Fern M. Laethem
Hearing Site: Kansas City, MO
|
Award | FINRA | 11/24/2025 |
| 23-02039 | Claimant(s): Kingswood Capital Partners, LLC
Claimant Representative(s): John Garred
Respondent(s): Phillip Anderson
Respondent Representative(s): Seth I. Rubinson
Neutral(s): Gilbert R. Serota, Jeffrey M. Allen, Val D. Hornstein
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/21/2025 |
| 23-02927 | Claimant(s): Roberto De Jesus
Claimant Representative(s): Roberto C. Quinones-Rivera
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 | 11/20/2025 |