| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 21-03053 | Claimant(s): Santa Rosa Rancheria Tachi Yokut Tribe
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Esther E. Cho
Neutral(s): Joseph Alfred Davis, Robert Rosen, Robert B. Hansohn
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/16/2024 |
| 23-01937 | Claimant(s): Donald Laurence
Claimant Representative(s): Stephan Louviere
Respondent(s): Hilltop Securities Inc.
Respondent Representative(s): David M. Clem
Neutral(s): Sherry R. Wetsch
Hearing Site: Houston, TX
|
Award | FINRA | 04/15/2024 |
| 23-02872 | Claimant(s): David Peyser
Claimant Representative(s): Stephan Louviere
Respondent(s): PNC Investments
Respondent Representative(s): Robert S. Whitman
Neutral(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/12/2024 |
| 23-01057 | Claimant(s): Michael Lombardi
Claimant Representative(s): Alan S. Baskin
Respondent(s): David Sherwood, Greenberg Financial Group
Respondent Representative(s): Rachel K. Douglas
Neutral(s): Richard Kent Mahrle
Hearing Site: Phoenix, AZ
|
Award | FINRA | 04/12/2024 |
| 21-02824 | Claimant(s): Charlie Meredith
Claimant Representative(s): David A. Welling
Respondent(s): Morgan Stanley, Morgan Stanley & Co., LLC
Respondent Representative(s): John P. Kincade
Neutral(s): Mark R. Lee, Gene S. Evenskaas, Randall B Christison
Hearing Site: San Diego, CA
|
Award | FINRA | 04/12/2024 |
| 23-02514 | Claimant(s): Marcia Hardy
Claimant Representative(s): Marcia L. Hardy
Respondent(s): Abacus Investments, Inc.
Respondent Representative(s): Frederick E. Hohensee
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
|
Award | FINRA | 04/12/2024 |
| 23-00027 | Claimant(s): McNaught Family Irrevocable Trust, Sharon Coan, Trustee
Claimant Representative(s): R. Sean McDonald
Respondent(s): Chad Carroll, Edward Jones
Respondent Representative(s): Donald R. Littlefield
Neutral(s): John Kenneth Popham
Hearing Site: Dallas, TX
|
Award | FINRA | 04/12/2024 |
| 23-01141 | Claimant(s): Edward Jones
Claimant Representative(s): Roger P Meyers
Respondent(s): Wells Fargo Clearing Services, LLC, Justin Mackay
Respondent Representative(s): Victor Lee Hayslip
Neutral(s): Daniel Mora, Michael Odom, Douglas Charles Weinstein
Hearing Site: Nashville, TN
|
Award | FINRA | 04/12/2024 |
| 23-01382 | Claimant(s): Gregory Benner
Claimant Representative(s): Peter Lindholm
Respondent(s): Chase Investment Services Corp.
Respondent Representative(s): Heidi E. VonderHeide
Neutral(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
|
Award | FINRA | 04/11/2024 |
| 23-02772 | Claimant(s): Inderpal Anand
Claimant Representative(s): James P. Galvin
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Howard L. Sobel
Hearing Site: New York, NY
|
Award | FINRA | 04/11/2024 |
| 23-01349 | Claimant(s): Peter Armstrong
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Advisors Asset Management, Inc.
Respondent Representative(s): Kevin B. Walker
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Award | FINRA | 04/11/2024 |
| 23-01090 | Claimant(s): Barry Kiront
Claimant Representative(s): John Stewart
Respondent(s): Monroe Parker Securities, Inc., Woodstock Financial Group, Inc.
Respondent Representative(s): Alan Lipsky, William J. Raike
Neutral(s): Veronica Ann Williams
Hearing Site: New York, NY
|
Award | FINRA | 04/11/2024 |
| 23-00446 | Claimant(s): Michael Nolan
Claimant Representative(s): Todd Gutfleisch
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Kevin B. Leblang
Neutral(s): Edward Turner Borer, Paul J. Leis, Peter George Erdely
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/10/2024 |
| 23-01414 | Claimant(s): Frank Briseno, III
Claimant Representative(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|
Award | FINRA | 04/10/2024 |
| 21-01762 | Claimant(s): Melvin Menke
Claimant Representative(s): Bradley D. Schnur
Respondent(s): Richard Coleman, William Brown, Richard James & Associates, Inc.
Respondent Representative(s): Frank Barravechia, Richard James Coleman, William Robert Brown
Neutral(s): Julius Z. Frager
Hearing Site: Louisville, KY
|
Award | FINRA | 04/10/2024 |
