| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01419 | Claimant(s): Thomas Mccausland
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets, Inc., RBC Capital Markets LLC
Respondent Representative(s): Adam M. Kauff, Samuel F.B. Audley
Neutral(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|
Award | FINRA | 04/05/2024 |
| 23-01437 | Claimant(s): Ellice Papp
Claimant Representative(s): Harris Freedman
Respondent(s): Prudential Equity Group, LLC, Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok, Jennifer E. Novoselsky
Neutral(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/05/2024 |
| 22-01717 | Claimant(s): Jeffrey Sikirica, Chapter 7, Melvin Pirchesky
Claimant Representative(s): Michael J. Betts
Respondent(s): Joanne Park, Keith Moore, Boustead Securities, LLC
Respondent Representative(s): Jason L. Ott
Neutral(s): Peter Glasser, Mark K. Gubinsky, Louis Charles Schmitt
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 04/04/2024 |
| 19-02942 | Claimant(s): Edna Angeli
Claimant Representative(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Eric Ross Cromartie, Ross B. Russell, Rayner Mathias Bettendorf
Hearing Site: San Juan, PR
|
Award | FINRA | 04/04/2024 |
| 23-01028 | Claimant(s): Scott Namowicz
Claimant Representative(s): Bryan L. Tyson
Respondent(s): Sallie Larsen, LPL Financial Holdings Inc. Severance
Respondent Representative(s): Roger Scruggs
Neutral(s): Richard H. Potter, David M. Pierce, Daniel F. Piar
Hearing Site: Charlotte, NC
|
Award | FINRA | 04/04/2024 |
| 23-00643 | Claimant(s): Alban Wilson
Claimant Representative(s): Barry R. Lax
Respondent(s): Ron Itin, Shaun Grimaldi, E1 Asset Management, Inc.
Respondent Representative(s): Jonathan Uretsky
Neutral(s): David Sorokoff, Albert Rizzo, Kevin Marcus-Kanesaka
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-01022 | Claimant(s): Samuel Wyman
Claimant Representative(s): Craig A. Riha
Respondent(s): Advest, Inc.
Respondent Representative(s): Katelyn H. Wilson
Neutral(s): Josian Antoine, Beth Ann Haddock, Edmund Timothy Donovan
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-02907 | Claimant(s): Matthew Adrian
Claimant Representative(s): Everett Pritchard
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Anita Rae Shapiro
Hearing Site: Denver, CO
|
Award | FINRA | 04/03/2024 |
| 23-02803 | Claimant(s): Leslie Rosenblatt
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): WFG Investments, Inc.
Respondent Representative(s): David Williams
Neutral(s): Frances Johnson Wright
Hearing Site: Dallas, TX
|
Award | FINRA | 04/03/2024 |
| 23-02557 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Representative(s): Christopher J. Murdoch
Respondent(s): Leibish Schwartz
Respondent Representative(s): Leibish Schwartz
Neutral(s): Michael S. Lazan
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-03017 | Claimant(s): Neil Klein
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): John Franklin Udochi
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-00552 | Claimant(s): Matthew Jung
Claimant Representative(s): Christopher H. Tovar
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Angelina T. Evans
Neutral(s): Rosa Linda Guadarrama
Hearing Site: San Diego, CA
|
Award | FINRA | 04/03/2024 |
| 23-03011 | Claimant(s): Loren Weiss
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Nancy Kramer
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-02306 | Claimant(s): Timothy Derouin
Claimant Representative(s): Patrick E. Brookhouser
Respondent(s): Northwestern Mutual Investment Services,
Respondent Representative(s): Clarke C. Greene
Neutral(s): Leah Murray Albert, Phyllis Karasov, Danielle L. Anderson
Hearing Site: Des Moines, IA
|
Award | FINRA | 04/02/2024 |
| 23-02832 | Claimant(s): Richard Skelton
Claimant Representative(s): Chad Weaver
Respondent(s): Woodbury Financial Services, Inc.
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Michael Harrison
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/02/2024 |
