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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01420 | Claimant(s): LPL Financial LLC
Claimant Representative(s): Samuel P. Mauch
Respondent(s): Elizabeth Espinal
Respondent Representative(s): Elizabeth Espinal
Neutral(s): Edward W. Morris
Hearing Site: Jersey City, NJ
|
Award | FINRA | 11/19/2025 |
| 23-02837 | Claimant(s): John Lowry, Kim Monchik
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Amalia Chin
Neutral(s): Ronald Harris Kisner
Hearing Site: New York, NY
|
Award | FINRA | 11/18/2025 |
| 25-01236 | Claimant(s): Mark Rose
Claimant Representative(s): Mark Rose
Respondent(s): M&T Securities, Inc.
Respondent Representative(s): Catherine Grantier Cooley
Neutral(s): Mark H. Stein
Hearing Site: Wilmington, DE
|
Award | FINRA | 11/17/2025 |
| 25-01476 | Claimant(s): Kah Seng Lau
Claimant Representative(s): Kah Seng Lau
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): Arocles Aguilar
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/17/2025 |
| 25-01511 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Representative(s): Jessica L. Newman
Respondent(s): Stephen Simpson
Respondent Representative(s): Stephen W. Simpson
Neutral(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
|
Award | FINRA | 11/17/2025 |
| 23-03136 | Claimant(s): VALIC Financial Advisors, Inc.
Claimant Representative(s): Matthew Penfield
Respondent(s): Hornor, Townsend & Kent, LLC., Mark Block, Vincent Bresina-Hawkins
Respondent Representative(s): Colin Moriarty, Paula D. Schaffner
Neutral(s): Richard J. Lawrence, Donald Salcito, Sophia C. Hassman
Hearing Site: Denver, CO
|
Award | FINRA | 11/17/2025 |
| 22-00440 | Claimant(s): Lynn Schneider Foundation, Inc., IS 2010 Trust FBO Jeremiah Joseph U/A 12/23/10, IS 2010 Trust FBO Maxwell Joseph U/A 12/23/10, Lynn Schneider 2012 Trust FBO Jeremiah Joseph, Lynn Schneider 2012 Trust FBO Maxwell Joseph, Lynn Schneider 2016 GRAT U/A 10/20/16, Lynn Schneider Revocable Trust U/A 12/19/12, Trust FBO Jeremiah Schneider Joseph U/A 4/20/95, Trust FBO Maxwell Schneider Joseph U/A 4/20/95
Claimant Representative(s): Kerry Brainard Verdi
Respondent(s): Morgan Stanley, Errol Furst, Michael Higgins
Respondent Representative(s): William D. Briendel
Neutral(s): Mary Julia O'Connell, Susan Romano, Peter D.C. Mason
Hearing Site: New York, NY
|
Award | FINRA | 11/17/2025 |
| 22-00440 | Claimant(s): Lynn Schneider Foundation, Inc., IS 2010 Trust FBO Jeremiah Joseph U/A 12/23/10, IS 2010 Trust FBO Maxwell Joseph U/A 12/23/10, Lynn Schneider 2012 Trust FBO Jeremiah Joseph, Lynn Schneider 2012 Trust FBO Maxwell Joseph, Lynn Schneider 2016 GRAT U/A 10/20/16, Lynn Schneider Revocable Trust U/A 12/19/12, Trust FBO Jeremiah Schneider Joseph U/A 4/20/95, Trust FBO Maxwell Schneider Joseph U/A 4/20/95
Claimant Representative(s): Kerry Brainard Verdi
Respondent(s): Morgan Stanley, Errol Furst, Michael Higgins
Respondent Representative(s): William D. Briendel
Neutral(s): Mary Julia O'Connell, Susan Romano, Peter D.C. Mason
Hearing Site: New York, NY
|
Award | FINRA | 11/17/2025 |
| 25-00057 | Claimant(s): Ameriprise Financial Services, LLC
Claimant Representative(s): Gerald A. Giurato
Respondent(s): Drew Peacock
Respondent Representative(s): Drew Matthew Peacock
Neutral(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|
Award | FINRA | 11/14/2025 |
| 24-02497 | Claimant(s): Steward Partners Holdings, LLC, Steward Partners Investment Advisory, LLC, Steward Partners Investment Solutions, LLC
Claimant Representative(s): Michael T. Roche
Respondent(s): Andrew Egber
Respondent Representative(s): Andrew Joseph Egber
Neutral(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
|
Award | FINRA | 11/13/2025 |
| 25-01090 | Claimant(s): William Cerf
Claimant Representative(s): David L. Goldberg
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Steven H. Vogel, Mauricio Arcadier, Frederick Ramos
Hearing Site: New York, NY
|
Award | FINRA | 11/13/2025 |
| 24-02124 | Claimant(s): Timothy Dixon
Claimant Representative(s): Alex Padla
Respondent(s): Morgan Stanley & Co., LLC
Respondent Representative(s): Ryan Parchment
Neutral(s): Richard H. Potter, Thomas J. Dolina, Patricia H. Latham
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/13/2025 |
| 24-01745 | Claimant(s): Mfon Ogbebor
Claimant Representative(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart D. Roberts
Neutral(s): Gene M. Bauer
Hearing Site: Providence, RI
|
Award | FINRA | 11/13/2025 |
| 23-03475 | Claimant(s): Garner Mabry, Todd Schwartz
Claimant Representative(s): Seth I. Rubinson
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): Joseph M. Costello, Ronald G. Guida, Richard J. Lawrence
Hearing Site: Denver, CO
|
Award | FINRA | 11/12/2025 |
| 25-01618 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Akili Johnson
Respondent Representative(s): Akili M Johnson
Neutral(s): Andrea U. Calve
Hearing Site: Dallas, TX
|
Award | FINRA | 11/12/2025 |