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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 26-00363 | Claimant(s): Russell Rabito
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Lise Gabrielle Hunter, Steven R. Rolnick, Richard Marc Weinroth
Hearing Site: New York, NY
|
Award | FINRA | 05/01/2026 |
| 25-00445 | Claimant(s): The Estate of Edna Delores Bubna
Claimant Representative(s): Dori M. Brattain
Respondent(s): Ameriprise Financial Services, LLC, Jason Doneth, LPL Financial LLC
Respondent Representative(s): Amir Tadjedin, Howard M. Klausmeier
Neutral(s): Katherine Hendricks, Gideon Daniel Caron, Peter Khalil
Hearing Site: Portland, OR
|
Award | FINRA | 05/01/2026 |
| 23-03247 | Respondent(s): Kurt Berry, Regulus Financial Group, LLC
Respondent Representative(s): Evan H. Lechtman, Wendy Clarke
Neutral(s): Theodore W. Wrobleski, Robert F Hogan, Ronald Stephen Gieseke
Hearing Site: Chicago, IL
|
Award | FINRA | 05/01/2026 |
| 25-00883 | Claimant(s): Michael Sussman
Claimant Representative(s): Michael Sussman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Rebecca Swenson
Neutral(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
|
Award | FINRA | 05/01/2026 |
| 26-00006 | Claimant(s): Ernest Owens
Claimant Representative(s): Ernest Owens
Respondent(s): Pershing LLC
Respondent Representative(s): Jordan D. Weinreich
Neutral(s): Scott A. Schweber, Jeffrey Tharpe, Christopher R Carroll
Hearing Site: Atlanta, GA
|
Award | FINRA | 04/29/2026 |
| 25-01122 | Claimant(s): Russell Johnson
Claimant Representative(s): Chelsea Bauer
Respondent(s): LPL Financial LLC
Respondent Representative(s): Kathy Adams
Neutral(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/29/2026 |
| 23-00295 | Claimant(s): Paul Breglio
Claimant Representative(s): Stefan Apotheker
Respondent(s): Reid & Rudiger LLC
Respondent Representative(s): Robert G. Heim
Neutral(s): Stuart M. Schwartz, Ilene J Feldman, Jed Mark Horowitz
Hearing Site: Hartford, CT
|
Award | FINRA | 04/28/2026 |
| 25-02772 | Claimant(s): Noah Simon
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Charles Marcus Harris, Sharon R. Merriman, Julius Z. Frager
Hearing Site: New York, NY
|
Award | FINRA | 04/28/2026 |
| 25-02331 | Claimant(s): Samuel Gulla
Claimant Representative(s): Samuel J. Gulla
Respondent(s): Robert Farrar, PFS Investments Inc.
Respondent Representative(s): Wes Holston
Hearing Site: Boston, MA
|
Award | FINRA | 04/27/2026 |
| 25-02331 | Claimant(s): Samuel Gulla
Claimant Representative(s): Samuel J. Gulla
Respondent(s): Robert Farrar, PFS Investments Inc.
Respondent Representative(s): Wes Holston
Neutral(s): Lisa Manget Buchanan
Hearing Site: Boston, MA
|
Award | FINRA | 04/27/2026 |
| 25-01105 | Claimant(s): Equitable Advisors, LLC, Equitable Network LLC
Claimant Representative(s): Morgan B. Thompson
Respondent(s): Ronald Palmer
Respondent Representative(s): Ronald George Palmer
Neutral(s): Thomas M. Madden
Hearing Site: New York, NY
|
Award | FINRA | 04/27/2026 |
| 25-02369 | Claimant(s): Donald Marder
Claimant Representative(s): Donald M Marder
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/27/2026 |
| 25-00473 | Claimant(s): Neema Rwehumbiza
Claimant Representative(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
|
Award | FINRA | 04/27/2026 |
| 25-01280 | Claimant(s): Gerald Temmel
Claimant Representative(s): Owen Harnett
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Stephen J. Steinlight
Neutral(s): Margaret Elizabeth Gee
Hearing Site: Charlotte, NC
|
Award | FINRA | 04/27/2026 |
| 25-01910 | Claimant(s): Victor Ravelo
Claimant Representative(s): Victor Ravelo
Respondent(s): Brian Zimmerman, Independent Financial Group, LLC.
Respondent Representative(s): Natalie P. Vance
Neutral(s): Kirtley M. Thiesmeyer, Lei-Chala I Wilson, David Lewis Vialpando
Hearing Site: San Diego, CA
|
Award | FINRA | 04/27/2026 |