| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-00211 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283)
Claimant Representative(s): Kevin P. Conway
Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, LLC
Respondent Representative(s): Jason Kempf
Neutral(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi
Hearing Site: New York, NY
|
Award | FINRA | 05/01/2024 |
| 22-02666 | Claimant(s): David Del Toro
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 04/30/2024 |
| 23-00429 | Claimant(s): Michael Rosenthal
Claimant Representative(s): Sam B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Anthony J. Borelli
Neutral(s): Robert Barton McLeroy, Albert Bates Wenzell, Carl Haralson Ginsberg
Hearing Site: Dallas, TX
|
Award | FINRA | 04/30/2024 |
| 22-01455 | Claimant(s): Raymond Paller
Claimant Representative(s): Bruce Lewitas
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Valerie Holder
Neutral(s): Mark L Miller, Susan M. Coleman, Lisa M. Krimen
Hearing Site: Chicago, IL
|
Award | FINRA | 04/30/2024 |
| 23-01743 | Claimant(s): Francis Amsler, Marc Laborde
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): Rockefeller Financial LLC
Respondent Representative(s): William Fenrich
Neutral(s): Jeffrey R. Jury
Hearing Site: Houston, TX
|
Award | FINRA | 04/30/2024 |
| 23-02932 | Claimant(s): Chadwick Richards
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Representative(s): Rochelle Mayfield
Neutral(s): Harvey R. Linder
Hearing Site: Nashville, TN
|
Award | FINRA | 04/29/2024 |
| 23-02762 | Claimant(s): Jeffrey Hill
Claimant Representative(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs., Inc
Respondent Representative(s): Craig Vollono
Neutral(s): Annamaria Boccia Smith
Hearing Site: New York, NY
|
Award | FINRA | 04/29/2024 |
| 23-02246 | Claimant(s): Darrin Cohen
Claimant Representative(s): Brian Luther
Respondent(s): Triad Advisors LLC
Respondent Representative(s): Greg Curley
Neutral(s): Andy W. Morgan
Hearing Site: Atlanta, GA
|
Award | FINRA | 04/29/2024 |
| 24-00260 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Carlin A. McCrory
Respondent(s): Tony Graybeal
Respondent Representative(s): Tony Graybeal
Neutral(s): Christopher J. Klein
Hearing Site: Orlando, FL
|
Award | FINRA | 04/29/2024 |
| 23-02189 | Claimant(s): Yolanda Rosich Clemente
Claimant Representative(s): Sara L. Velez Santiago
Respondent(s): Popular Securities, LLC.
Respondent Representative(s): Mariela M. Ramirez Morales
Neutral(s): Nancy J. Cliff
Hearing Site: San Juan, PR
|
Award | FINRA | 04/29/2024 |
| 24-00216 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Howard Graham
Respondent Representative(s): Howard Okeefe Graham
Neutral(s): Robert H. Putnam
Hearing Site: Jackson, MS
|
Award | FINRA | 04/29/2024 |
| 22-02912 | Claimant(s): Vicente Castillo
Claimant Representative(s): Roberto C. Quiñones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 04/26/2024 |
| 23-01167 | Claimant(s): Charles Skipper
Claimant Representative(s): Harris Freedman
Respondent(s): Prudential Equity Group, LLC
Respondent Representative(s): Jennifer E. Novoselsky
Neutral(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/26/2024 |
| 22-02215 | Claimant(s): Gilda Scharf for her IRA, Stanley Scharf for his IRA, Stanley Scharf and Gilda Scharf
Claimant Representative(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Keith Olin
Neutral(s): Seth L. Finkel, Edward R. Niederriter, Carolyn E. Moore
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/26/2024 |
| 23-02870 | Claimant(s): Williams Butcher
Claimant Representative(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory, LLC
Respondent Representative(s): Myra P. Nicholson
Neutral(s): Oren L. Connaway, David Aaron DeSoto, James Douglas Gaughan
Hearing Site: Houston, TX
|
Award | FINRA | 04/26/2024 |
