| 25-00271 |
Claimant(s): Richard Satran
Claimant Representative(s): Richard J. Satran
Respondent(s): Clifford Virgin, John Geoghan, UBS Financial Services Inc., Salvatore Baio
Respondent Representative(s): Charlotte S. Wolfe
Neutral(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
|
Award |
FINRA |
09/15/2025 |
| 23-02857 |
Claimant(s): John Lowry
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Maureen Toale
Neutral(s): Richard W. Cutler
Hearing Site: New York, NY
|
Award |
FINRA |
09/15/2025 |
| 23-03556 |
Claimant(s): Timothy Washburn, Timothy Washburn, IRA
Claimant Representative(s): Matthew Thibaut
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Christopher A. Stecher
Neutral(s): Timothy J. Kroll, Ronald Stewart Ripley, Vineet Mehta Shaw
Hearing Site: Phoenix, AZ
|
Award |
FINRA |
09/15/2025 |
| 24-02655 |
Claimant(s): Geoffrey Forcino, Michael McDermott
Claimant Representative(s): Chelsea Bauer
Respondent(s): LPL Financial LLC
Respondent Representative(s): Matthew T. Bohenek
Neutral(s): Elwood C. Avery, William E. Nuckel, William W. Haskell
Hearing Site: Philadelphia, PA
|
Award |
FINRA |
09/15/2025 |
| 24-00112 |
Claimant(s): Steven Goodman
Claimant Representative(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart D. Roberts
Neutral(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
|
Award |
FINRA |
09/15/2025 |
| 25-00235 |
Claimant(s): Benjamin Segal
Claimant Representative(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Steven H. Vogel, Morton S. Bunis, Howard N. Gorney
Hearing Site: New York, NY
|
Award |
FINRA |
09/12/2025 |
| 25-00415 |
Claimant(s): Surya Sapra
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Representative(s): N. Nancy Ghabai
Neutral(s): Joseph J. Dougherty, Edward W. Morris, Ralph L. Jacobson
Hearing Site: Boston, MA
|
Award |
FINRA |
09/12/2025 |
| 25-00945 |
Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Myra C Mormile-Wolper
Respondent(s): Keerthi Arunachalam
Respondent Representative(s): Keerthi Arunachalam
Neutral(s): Donald Dreyfus
Hearing Site: Las Vegas, NV
|
Award |
FINRA |
09/12/2025 |
| 25-00328 |
Claimant(s): OSAIC Wealth, Inc
Claimant Representative(s): Jennifer R. Cox
Respondent(s): Kevin Snow
Respondent Representative(s): Kevin John Snow
Neutral(s): Barry Goldman
Hearing Site: Minneapolis, MN
|
Motion to Vacate |
FINRA |
09/11/2025 |
| 25-00328 |
Claimant(s): OSAIC Wealth, Inc
Claimant Representative(s): Jennifer R. Cox
Respondent(s): Kevin Snow
Respondent Representative(s): Kevin John Snow
Neutral(s): Barry Goldman
Hearing Site: Minneapolis, MN
|
Award |
FINRA |
09/11/2025 |
| 25-00839 |
Claimant(s): Macarthur Asset Management, Inc.
Claimant Representative(s): Matthew J. Faust
Respondent(s): Emmett A Larkin Company, Inc.
Respondent Representative(s): Melvin L. Peterson
Neutral(s): Randy R. Maher
Hearing Site: San Diego, CA
|
Award |
FINRA |
09/09/2025 |
| 25-00969 |
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Dale A. Evans
Respondent(s): Ira Reichstein
Respondent Representative(s): Ira Reichstein
Neutral(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
|
Award |
FINRA |
09/09/2025 |
| 25-00699 |
Claimant(s): Jason Woytal
Claimant Representative(s): Jason Woytal
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Noah D. Sorkin
Neutral(s): Betty Rankin Widgeon
Hearing Site: Detroit, MI
|
Award |
FINRA |
09/09/2025 |
| 25-00718 |
Claimant(s): Maximilian Horster
Claimant Representative(s): Maximilian Horster
Respondent(s): Morgan Stanley
Respondent Representative(s): Abigail Elrod
Neutral(s): Cheryl H. Agris
Hearing Site: New York, NY
|
Award |
FINRA |
09/09/2025 |
| 25-00718 |
Claimant(s): Maximilian Horster
Claimant Representative(s): Maximilian Horster
Respondent(s): Morgan Stanley
Respondent Representative(s): Abigail Elrod
Hearing Site: New York, NY
|
Award |
FINRA |
09/09/2025 |