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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-02427 | Claimant(s): Brian Mariash
Claimant Representative(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Theodore W. Wrobleski, Andrew M. Mintzer, Christopher J. Klein
Hearing Site: Tampa, FL
|
Award | FINRA | 03/06/2026 |
| 25-00529 | Claimant(s): Jonathan Elliott
Claimant Representative(s): Austin Davis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Daryl S. Landy
Neutral(s): Erik R. Siering
Hearing Site: Phoenix, AZ
|
Award | FINRA | 03/06/2026 |
| 25-01501 | Claimant(s): Scott Phillips
Claimant Representative(s): William Bean
Respondent(s): Centaurus Financial, Inc.
Respondent Representative(s): Michael J. Carey
Neutral(s): Jim Geiger, Gary E. Marcus, Thomas P. Valenti
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 03/06/2026 |
| 25-01314 | Claimant(s): John Tofilon
Claimant Representative(s): Josef Y. Rosen
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Barry Goldman, Jan Preece Gaddis, Carolyn L. Witherspoon
Hearing Site: Chicago, IL
|
Award | FINRA | 03/06/2026 |
| 25-00291 | Claimant(s): The Leroy And Janelle Fischer Trust
Claimant Representative(s): Bradford M. Gucciardo
Respondent(s): Daryl Calton, Calton & Associates, Inc.
Respondent Representative(s): Craig R. Glasser
Neutral(s): Charles G. Michaels, Gary L Young, Anne Marie O'Brien
Hearing Site: Omaha, NE
|
Award | FINRA | 03/05/2026 |
| 25-02317 | Claimant(s): Vincent Mercaldi
Claimant Representative(s): Vincent Mercaldi
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): Stephanie E. Simmons
Hearing Site: Houston, TX
|
Award | FINRA | 03/04/2026 |
| 25-01300 | Claimant(s): Francis Carter
Claimant Representative(s): Isaac Okyere
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Donald R. Littlefield
Neutral(s): Dineo Coleman Gary, Allan R. Lazor, Brian Patrick Ashley
Hearing Site: Dallas, TX
|
Award | FINRA | 03/04/2026 |
| 25-00638 | Claimant(s): Todd Bendell
Claimant Representative(s): Austin Davis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Daryl S. Landy
Neutral(s): Roger A. Geddes
Hearing Site: Phoenix, AZ
|
Award | FINRA | 03/04/2026 |
| 24-00915 | Claimant(s): Ameriprise Financial Services, LLC.
Claimant Representative(s): Brandon M. Taaffe
Respondent(s): Mitchell McCann, LPL Financial LLC, Wesley McCann
Respondent Representative(s): Alexander M. Madrid, Scott Matasar
Neutral(s): Richard C. Downing, Richard Edward Rassel, John Klusinske
Hearing Site: Detroit, MI
|
Award | FINRA | 03/03/2026 |
| 25-01878 | Claimant(s): Juan Elwaw
Claimant Representative(s): Randi P Spallina
Respondent(s): Morgan Stanley
Respondent Representative(s): Brandy Fernandez
Neutral(s): Paul H. Lamboley, Leon Fox, Carol Maria Luttati
Hearing Site: Boca Raton, FL
|
Award | FINRA | 03/03/2026 |
| 25-00604 | Claimant(s): Carolina Rida Jaafar
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Neal S. Robb
Neutral(s): Katherine Hendricks, Mark R. Lee, Neil Harvey Smith
Hearing Site: San Diego, CA
|
Award | FINRA | 03/03/2026 |
| 25-00727 | Claimant(s): Eric Stiba
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Lion Street Financial, LLC
Respondent Representative(s): Benjamin J. Biard
Neutral(s): Evalyn Lipton Fishbein, Debra Black Leo, Jason Allen Rosner
Hearing Site: Dallas, TX
|
Award | FINRA | 03/03/2026 |
| 24-01858 | Claimant(s): Bobbie McRae, Cathy Shubert, Darryl McRae, Elizabeth Palompo, Elvis Miller, John Sims, Kay Sims, Lacrecha Anderson, Linda Sims, Margaret Mayes, Marilyn Atkinson, Sandra Odol, Sonja Mattingley
Claimant Representative(s): Michael C. Bixby
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz
Neutral(s): Denise Morris Hammond, Isaac D. East, Albert John Bowden
Hearing Site: Jacksonville, FL
|
Award | FINRA | 03/03/2026 |
| 24-01858 | Claimant(s): Bobbie McRae, Cathy Shubert, Darryl McRae, Elizabeth Palompo, Elvis Miller, John Sims, Kay Sims, Lacrecha Anderson, Linda Sims, Margaret Mayes, Marilyn Atkinson, Sandra Odol, Sonja Mattingley
Claimant Representative(s): Michael C. Bixby
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz
Neutral(s): Denise Morris Hammond, Isaac D. East, Albert John Bowden
Hearing Site: Jacksonville, FL
|
Award | FINRA | 03/03/2026 |
| 25-00377 | Claimant(s): Christiana Webb
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Representative(s): Kimberly J. Gustafson
Neutral(s): Susan C. Lushing, Dianne Marie Onichimowski, Matthew Stephen Duchesne
Hearing Site: Atlanta, GA
|
Award | FINRA | 03/02/2026 |