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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00141 | Claimant(s): Kyle Blackmon
Claimant Representative(s): Robert Wayne Pearce
Respondent(s): UBS Financial Services Inc., UBS Securities LLC
Respondent Representative(s): Joseph Serino, Jr.
Neutral(s): Nancy J. Cliff, Agapija Cruz
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/11/2026 |
| 24-02595 | Claimant(s): Stephen Quisenberry
Claimant Representative(s): Stephen R. Quisenberry
Respondent(s): Robert Forbes, The Forbes Securities Group LLC
Respondent Representative(s): Salvador Hernandez
Neutral(s): Neil Harvey Smith, Carnell Scruggs, Zaia M. Thombre
Hearing Site: Nashville, TN
|
Award | FINRA | 02/10/2026 |
| 23-02046 | Claimant(s): Christine Counton, Jeffrey Counton
Claimant Representative(s): Jason Kane
Respondent(s): Morgan Stanley
Respondent Representative(s): Adam Kauff
Neutral(s): Robert J. Scafuri, Janet M. Thompson, Joshua Eric Lubatkin
Hearing Site: St. Louis, MO
|
Award | FINRA | 02/10/2026 |
| 25-01731 | Claimant(s): Paul Miller
Claimant Representative(s): Jonathan M. Sterling
Respondent(s): Commonwealth Financial Network
Respondent Representative(s): Ellen Rosenberg
Neutral(s): Jonathan H. Krotinger, Kevin R. Zehe, Richard James Igou
Hearing Site: Cleveland, OH
|
Award | FINRA | 02/10/2026 |
| 25-01881 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Frank Cuccio
Respondent(s): Brendan Kammerer
Respondent Representative(s): Brendan Kammerer
Neutral(s): David S. Godkin
Hearing Site: Boston, MA
|
Award | FINRA | 02/10/2026 |
| 25-02161 | Claimant(s): Scott Rosenberg
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): James W. Kerr, Evalyn Lipton Fishbein, Mark A. Bilawsky
Hearing Site: New York, NY
|
Award | FINRA | 02/09/2026 |
| 25-00830 | Claimant(s): Jason Nelson
Claimant Representative(s): Jennifer Cox
Respondent(s): LPL Financial LLC
Respondent Representative(s): Rochelle B. Mayfield
Neutral(s): Allan N. Taffet, John J. Mager, Mitchel Weiss
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 02/09/2026 |
| 25-00632 | Claimant(s): Mara Otley
Claimant Representative(s): Peter Lindholm
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Miles D. Hart
Neutral(s): Donald Dreyfus
Hearing Site: Denver, CO
|
Award | FINRA | 02/09/2026 |
| 25-02211 | Claimant(s): Noah Simon
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Steven R. Reininger, Steven H. Vogel, Mark A. Myers
Hearing Site: New York, NY
|
Award | FINRA | 02/09/2026 |
| 25-00721 | Claimant(s): Julius Moore
Claimant Representative(s): Julius J. Moore
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Donald R. Littlefield
Neutral(s): David A. Schuler, Melissa Nycole Hearon, Hilary Aldama Wooley
Hearing Site: Dallas, TX
|
Award | FINRA | 02/06/2026 |
| 24-02634 | Claimant(s): Kathleen Crowder
Claimant Representative(s): Kathleen Crowder
Respondent(s): Brian Ikemeier, Edward Jones, Joel Chaney, William Kay
Respondent Representative(s): Philip J. Mackey
Neutral(s): Jeffrey M. Bain
Hearing Site: Columbus, OH
|
Award | FINRA | 02/06/2026 |
| 24-02098 | Claimant(s): Michael Isikow
Claimant Representative(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Edward W. Morris, Edmund Siejka, Jamal Ahmad
Hearing Site: New York, NY
|
Award | FINRA | 02/05/2026 |
| 25-01431 | Claimant(s): Alison Reardon
Claimant Representative(s): Alison Reardon
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Barbara Black
Hearing Site: Raleigh, NC
|
Award | FINRA | 02/05/2026 |
| 25-01637 | Claimant(s): Ronald Vaughn
Claimant Representative(s): Ronald D. Vaughn
Respondent(s): Moomoo Financial Inc.
Respondent Representative(s): Keith Chan
Neutral(s): Kevin R. Zehe
Hearing Site: Buffalo, NY
|
Award | FINRA | 02/05/2026 |
| 23-00943 | Claimant(s): Sumaya Musa
Claimant Representative(s): Roberto C Quiñones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 02/04/2026 |