| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 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 |
| 23-01156 | Claimant(s): Cynthia Couyoumjian
Claimant Representative(s): Michael Bessette
Respondent(s): LPL Financial LLC, First Allied Securities, Inc.
Respondent Representative(s): Jeremy Wooden, Kelsey L. Vasko
Neutral(s): Robert Rosen
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/02/2024 |
| 23-02651 | Claimant(s): James Goodwin
Claimant Representative(s): James J. Goodwin
Respondent(s): Interactive Brokers Corp., Interactive Brokers LLC
Respondent Representative(s): Katherine L. Schuerman
Neutral(s): B. John Dill
Hearing Site: Providence, RI
|
Award | FINRA | 04/01/2024 |
| 23-00093 | Claimant(s): Fady Sorial, Ramy Sorial
Claimant Representative(s): Fady G. Sorial
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Jonathan J. Brennan
Neutral(s): Howard L. Sobel, Mitchell Regenbogen, Laura Matlow Wong-Pan
Hearing Site: New York, NY
|
Award | FINRA | 04/01/2024 |
| 23-00093 | Claimant(s): Fady Sorial, Ramy Sorial
Claimant Representative(s): Fady G. Sorial
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Jonathan J. Brennan
Neutral(s): Howard L. Sobel, Mitchell Regenbogen, Laura Matlow Wong-Pan
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 04/01/2024 |
| 23-00040 | Claimant(s): Mark Kolta
Claimant Representative(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Worden Capital Management LLC, Aegis Capital Corp.
Respondent Representative(s): Daniel Scott Furst, Emily A. Hayes, Jamie J. Worden
Neutral(s): Cheryl H. Agris, John Clark Van Steen, Susan Romano
Hearing Site: New York, NY
|
Award | FINRA | 03/29/2024 |
| 23-00044 | Claimant(s): Danielle Azadian
Claimant Representative(s): Lars Soreide
Respondent(s): Peter Janssen, Katalyst Securities Llc
Respondent Representative(s): Philip Kempisty, Walter J. Mathews
Neutral(s): Lita S. Menkin, Gia B. Compton, Jeffrey Alperin
Hearing Site: Atlanta, GA
|
Award | FINRA | 03/29/2024 |
| 23-01491 | Claimant(s): Michael Rice
Claimant Representative(s): Chelsea Bauer
Respondent(s): Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok
Neutral(s): Peter E. Gillespie
Hearing Site: New York, NY
|
Award | FINRA | 03/29/2024 |
| 23-01390 | Claimant(s): Gregory Thorn
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Cetera Advisor Networks LLC
Respondent Representative(s): David Feldstein
Neutral(s): David A. Schuler
Hearing Site: Dallas, TX
|
Award | FINRA | 03/29/2024 |
| 23-02347 | Claimant(s): Carlos Estima, Eduardo Cruz, Kenia Naves Rocha, Luis De Melo Ferreira
Claimant Representative(s): Jordi C. Martinez-Cid
Respondent(s): EFG Capital International
Respondent Representative(s): Coren H. Stern
Neutral(s): Gloria F. Katz, Paul A. Holmes, Robert G. Geeseman
Hearing Site: Boca Raton, FL
|
Award | FINRA | 03/28/2024 |
| 23-02802 | Claimant(s): Edward Maynard
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research, Inc.
Respondent Representative(s): Kristina J. Branstetter
Neutral(s): Joseph V. Simeri
Hearing Site: Cincinnati, OH
|
Award | FINRA | 03/28/2024 |
| 23-01386 | Claimant(s): Hua Fan
Claimant Representative(s): Hua Fan
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Jeffrey D. Rogers
Neutral(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/28/2024 |
| 23-02074 | Claimant(s): Ann Stewart
Claimant Representative(s): Christopher Lufrano
Respondent(s): Parkland Securities, LLC
Respondent Representative(s): Irit Walters
Neutral(s): Anita Rae Shapiro
Hearing Site: Denver, CO
|
Award | FINRA | 03/28/2024 |
| 23-01466 | Claimant(s): Jeffrey Beaulieu
Claimant Representative(s): William Bean
Respondent(s): NYLife Securities LLC
Respondent Representative(s): Andrew S. Azarmi
Neutral(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/28/2024 |
| 23-02041 | Claimant(s): John Parmigiani
Claimant Representative(s): Irwin Weltz
Respondent(s): Allied Millennial Partners, LLC
Respondent Representative(s): Kay Johnson
Neutral(s): Michael H DuBoff
Hearing Site: New York, NY
|
Award | FINRA | 03/28/2024 |
