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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-00822 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Representative(s): Sara Soto
Respondent(s): Jayson Pocius
Respondent Representative(s): Jayson Robert Pocius
Neutral(s): John William Kenesey
Hearing Site: Chicago, IL
|
Award | FINRA | 12/12/2025 |
| 25-00266 | Claimant(s): Cenezhana Rokhaneevna
Claimant Representative(s): Cenezhana Rokhaneevna
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Matthew P. Fischer
Neutral(s): Rick L. Knuth, Linda M. Edwards, Jon Richard Catten
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 12/11/2025 |
| 25-01382 | Claimant(s): Heather O'Neill
Claimant Representative(s): Kathy Klock
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Jennifer Cox
Neutral(s): Steven R. Reininger, Leslie L. Cooney, Brian James Tagtmeier
Hearing Site: Chicago, IL
|
Award | FINRA | 12/10/2025 |
| 24-02117 | Claimant(s): Neil Mehta
Claimant Representative(s): Alex Padla
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Sarah Henderson
Neutral(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/10/2025 |
| 24-02229 | Claimant(s): Fred Avalli
Claimant Representative(s): Alex Padla
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Sarah Henderson
Neutral(s): David I. Levine
Hearing Site: San Francisco, CA
|
Award | FINRA | 12/10/2025 |
| 23-01629 | Claimant(s): Aaron Thurow
Claimant Representative(s): Bruce Lewitas
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Leonard Arthur Nelson, Leo G. Stern, Danielle L. Anderson
Hearing Site: Minneapolis, MN
|
Award | FINRA | 12/10/2025 |
| 25-01407 | Claimant(s): Boustead Securities, Llc
Claimant Representative(s): Tara Hopper Rice
Respondent(s): Pono Capital
Respondent Representative(s): Dustin Shindo
Neutral(s): Marc S. Joseph
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/09/2025 |
| 24-02494 | Claimant(s): Scott Hirsch
Claimant Representative(s): Peter Lindholm
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): Bryan Lane Berson
Hearing Site: New York, NY
|
Award | FINRA | 12/09/2025 |
| 25-01157 | Claimant(s): Kevin Toler
Claimant Representative(s): Peter Lindholm
Respondent(s): Edward Jones
Respondent Representative(s): Eric A. Michaels
Neutral(s): Bruce Keplinger
Hearing Site: St. Louis, MO
|
Award | FINRA | 12/08/2025 |
| 25-01283 | Claimant(s): Christopher Rice
Claimant Representative(s): Peter Lindholm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart Rebish
Neutral(s): Gloria O. North, Louis M. Parker, Brian John Gallagher
Hearing Site: New York, NY
|
Award | FINRA | 12/05/2025 |
| 25-01355 | Claimant(s): Nisjet Lapi
Claimant Representative(s): Nisjet Lapi
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Tina Alison Davis
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 12/05/2025 |
| 24-02475 | Claimant(s): Shirley Antonini
Claimant Representative(s): Kathryn L. Simpson
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Keith J. Barnett
Neutral(s): Elliot B. Platt, John P. Azzopardi, Gregory J. Spadea
Hearing Site: Philadelphia, PA
|
Award | FINRA | 12/05/2025 |
| 24-01157 | Claimant(s): Luke Lannister
Claimant Representative(s): Austin Davis
Respondent(s): Cuso Financial Services, L.P., Grove Point Investments, LLC
Respondent Representative(s): Lydia R. Zaidman
Neutral(s): Diane Ciccone, Kimberly A. Gilmour, John J. Fitzpatrick
Hearing Site: Baltimore, MD
|
Award | FINRA | 12/04/2025 |
| 24-00936 | Claimant(s): Boustead Securities, LLC
Claimant Representative(s): Tara Hopper Rice
Respondent(s): AERWINS Inc., AERWINS Technologies Inc.
Respondent Representative(s): Corporate Officer, Registered Agent
Neutral(s): Marc S. Joseph, BaoKim N. Coleman, Peter A. Neumann
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/04/2025 |
| 25-01060 | Claimant(s): Karl Klingmann II
Claimant Representative(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc
Respondent Representative(s): Amy S. Towle
Neutral(s): Jill Pilgrim, Richard J. Lawrence, Donald M. Thompson
Hearing Site: Wilmington, DE
|
Award | FINRA | 12/04/2025 |