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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01426 | Claimant(s): Michael Leslie
Claimant Representative(s): Alex Padla
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart D. Roberts
Neutral(s): Thomas E Kopil
Hearing Site: Philadelphia, PA
|
Award | FINRA | 05/07/2026 |
| 23-01310 | Claimant(s): Kelly Goldsmith
Claimant Representative(s): Richard B. Fosher
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): AJ Borrelli
Neutral(s): John A. Baynes, John Winslow Griesser, Yolanda Michelle Ahmad
Hearing Site: Columbia, SC
|
Award | FINRA | 05/07/2026 |
| 24-02637 | Claimant(s): Gihan Fernando
Claimant Representative(s): Paul D. Flack
Respondent(s): BOK Financial Securities, Inc.
Respondent Representative(s): Jared M. Burden
Neutral(s): Kevin R. Zehe, Betty Chen, Paul J. Burkhart
Hearing Site: Houston, TX
|
Motion to Vacate | FINRA | 05/05/2026 |
| 24-02637 | Claimant(s): Gihan Fernando
Claimant Representative(s): Paul D. Flack
Respondent(s): BOK Financial Securities, Inc.
Respondent Representative(s): Jared M. Burden
Neutral(s): Kevin R. Zehe, Betty Chen, Paul J. Burkhart
Hearing Site: Houston, TX
|
Award | FINRA | 05/05/2026 |
| 23-01711 | Claimant(s): Cynthia Posipanko
Claimant Representative(s): Brandon S. Reif
Respondent(s): James Potoka, FSC Securities Corporation, James Ransom Potoka d/b/a Legacy Financial Services Group
Respondent Representative(s): Sean T. Needham, Steven E. Mellen
Neutral(s): George Forest Bingham, Joseph J. Dougherty, Dimitri Karapelou
Hearing Site: Philadelphia, PA
|
Motion to Vacate | FINRA | 05/05/2026 |
| 23-01711 | Claimant(s): Cynthia Posipanko
Claimant Representative(s): Brandon S. Reif
Respondent(s): James Potoka, FSC Securities Corporation, James Ransom Potoka d/b/a Legacy Financial Services Group
Respondent Representative(s): Sean T. Needham, Steven E. Mellen
Neutral(s): George Forest Bingham, Joseph J. Dougherty, Dimitri Karapelou
Hearing Site: Philadelphia, PA
|
Award | FINRA | 05/05/2026 |
| 24-00446 | Claimant(s): Vicki Ledbetter
Claimant Representative(s): Christopher D. Minix
Respondent(s): Edward Jones, Ellen Boortz
Respondent Representative(s): Laura A. Pizzitola
Neutral(s): Harvey R. Linder, Richard K. Smith, Roland Neil Burgess
Hearing Site: Nashville, TN
|
Award | FINRA | 05/05/2026 |
| 26-00126 | Claimant(s): Parkland Securities, LLC
Claimant Representative(s): Jonathan M. Sterling
Respondent(s): Donald Dalton
Respondent Representative(s): Donald D. Dalton
Neutral(s): B. John Dill
Hearing Site: Boston, MA
|
Award | FINRA | 05/05/2026 |
| 25-01287 | Claimant(s): Eduardo De Ocampo
Claimant Representative(s): Eduardo De Ocampo
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): William M. Turner
Neutral(s): Jonathan Polland
Hearing Site: San Francisco, CA
|
Award | FINRA | 05/05/2026 |
| 25-02661 | Claimant(s): Martha Gaudet
Claimant Representative(s): Martha Gaudet
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Brooke S. Fleichman
Neutral(s): Patrick Leo Kennedy
Hearing Site: Boston, MA
|
Award | FINRA | 05/05/2026 |
| 25-02042 | Claimant(s): John Eggleton
Claimant Representative(s): Gary S. Kessler
Respondent(s): Ameritas Investment Corp.
Respondent Representative(s): Andrea D. Snowden
Neutral(s): Christopher M. McMurray, Gregory J. Getz, Kevin C. Coleman
Hearing Site: Dallas, TX
|
Award | FINRA | 05/04/2026 |
| 26-00200 | Claimant(s): Alan Reisfield
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Patricia Ann Tracey, Eric Ross Cromartie, Lorrie E Whitfield
Hearing Site: Jersey City, NJ
|
Award | FINRA | 05/04/2026 |
| 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 |