| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01289 | Claimant(s): David Hancock
Claimant Representative(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Representative(s): Christopher J. Murdoch
Neutral(s): Lita S. Menkin
Hearing Site: Birmingham, AL
|
Award | FINRA | 04/10/2024 |
| 23-02992 | Claimant(s): Douglas Breitenbach
Claimant Representative(s): Michael Davis Hoenig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Laura A. Pizzitola
Neutral(s): Michael L. Fortney
Hearing Site: Cleveland, OH
|
Award | FINRA | 04/10/2024 |
| 23-01375 | Claimant(s): Michael Gregory
Claimant Representative(s): Michael Gregory
Respondent(s): Morgan Stanley
Respondent Representative(s): Peter S. Fruin
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
|
Award | FINRA | 04/10/2024 |
| 23-02773 | Claimant(s): Peter Pavlakis
Claimant Representative(s): Robert W. Pearce
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Greg M. Scanlon
Neutral(s): Annamaria Boccia Smith
Hearing Site: New York, NY
|
Award | FINRA | 04/09/2024 |
| 23-01919 | Claimant(s): Cyrus Desai
Claimant Representative(s): Meher C. Desai
Respondent(s): William Young, Grove Point Investments, LLC
Respondent Representative(s): Garry T. Stevens, Jr., Richard A. D'Amura
Neutral(s): Christopher M. McMurray, Luba Shur, Kiran Nasir Gore
Hearing Site: Washington, DC
|
Award | FINRA | 04/09/2024 |
| 22-01942 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Representative(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Representative(s): Kirsten Patzer
Neutral(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
|
Award | FINRA | 04/09/2024 |
| 23-01570 | Claimant(s): Douglas Eglington
Claimant Representative(s): Douglas Eglington
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Heather Cooper
Neutral(s): Lee Milich
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/08/2024 |
| 23-02358 | Claimant(s): Jonathan French
Claimant Representative(s): Zack Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Representative(s): Darol K. Paulsen
Neutral(s): Constance Ellen Boukidis, Kirtley M. Thiesmeyer, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/08/2024 |
| 23-00395 | Claimant(s): Ve Ngo
Claimant Representative(s): Emahn Counts
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Noah D. Sorkin
Neutral(s): Steven Gourley
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/08/2024 |
| 23-01519 | Claimant(s): Stephen Ridge
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Elena D. Marcuss
Neutral(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
|
Award | FINRA | 04/08/2024 |
| 23-02834 | Claimant(s): Melissa Devolve
Claimant Representative(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Katelyn H. Wilson
Neutral(s): Michael J Norton
Hearing Site: Denver, CO
|
Award | FINRA | 04/08/2024 |
| 23-01489 | Claimant(s): Maurice Acriche
Claimant Representative(s): Harris Freedman
Respondent(s): Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok
Neutral(s): Michele S. Riley
Hearing Site: New York, NY
|
Award | FINRA | 04/05/2024 |
| 22-02847 | Claimant(s): Lorenzo Bettino
Claimant Representative(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): David L. Goldberg
Neutral(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux
Hearing Site: Denver, CO
|
Award | FINRA | 04/05/2024 |
| 23-02658 | Claimant(s): Tyson Lewis
Claimant Representative(s): Peter Lindholm
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Deirdre Wolff
Neutral(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/05/2024 |
| 21-02925 | Claimant(s): Michael Shular
Claimant Representative(s): Moshe Y. Singer
Respondent(s): James Stuart, Richfield Orion International, Inc.
Respondent Representative(s): James Brett Stuart
Neutral(s): Mark A. Myers, Kenneth R. Starr, Avery B. Goodman
Hearing Site: Nashville, TN
|
Award | FINRA | 04/05/2024 |
