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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-01284 | Claimant(s): Jacob Statz
Claimant Representative(s): Mark E Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart Roberts
Neutral(s): Robert J. Scafuri, David E. Bailey, Andrew John Powers
Hearing Site: Indianapolis, IN
|
Award | FINRA | 10/01/2025 |
| 25-00775 | Claimant(s): Gary Gunsalus
Claimant Representative(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Erik R. Siering
Hearing Site: Phoenix, AZ
|
Award | FINRA | 10/01/2025 |
| 24-00220 | Claimant(s): Robert Kaiser
Claimant Representative(s): Trevor J. Hatfield
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Stuart D. Roberts
Neutral(s): Constance Ellen Boukidis, Terry Johnson, Mary Kay Scucci
Hearing Site: Las Vegas, NV
|
Award | FINRA | 10/01/2025 |
| 20-03775 | Claimant(s): Robert Petrocine
Claimant Representative(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services, LLC, John Leahy, Marlene Yacenda
Respondent Representative(s): Michael J. Zaretsky
Neutral(s): Michael H. DuBoff, Howard Alan Grinsberg, Loretta Yin
Hearing Site: Jersey City, NJ
|
Award | FINRA | 10/01/2025 |
| 23-03363 | Claimant(s): The Decendants Trust UA Jean Prather dtd
Claimant Representative(s): Matthew Thibaut
Respondent(s): Triad Advisors LLC, Jeffrey Paladini
Respondent Representative(s): Justin Sacca, Matthew B. Henneman
Neutral(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
|
Award | FINRA | 09/30/2025 |
| 25-00620 | Claimant(s): Bo Wang
Claimant Representative(s): Austin Davis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Patrick J. Halter, Michael Harrison, Stephen P. Calardo
Hearing Site: New York, NY
|
Award | FINRA | 09/29/2025 |
| 25-00794 | Claimant(s): Yusuf Hai
Claimant Representative(s): Yusuf Abdul Hai
Respondent(s): Kenneth Chaput, Osman Minkara, CIG Capital Advisors, CIG Securities
Respondent Representative(s): James V. Garvey
Neutral(s): Charles A. Palmer, Anthony R. Paesano, Valerie Main
Hearing Site: Detroit, MI
|
Award | FINRA | 09/29/2025 |
| 24-01920 | Claimant(s): Paul Carl Holzhauer, Jr., Wai Cheng Ng McKenzie
Claimant Representative(s): Samuel Edwards
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Joel M. Everest
Neutral(s): Heather Gaile Layton, James Douglas Gaughan, Raven Davenport
Hearing Site: Houston, TX
|
Award | FINRA | 09/26/2025 |
| 23-02721 | Claimant(s): Elizabeth Arthur
Claimant Representative(s): Kevin S. Cooman
Respondent(s): William Hinman, Equity Services, Inc.
Respondent Representative(s): Derek C. Anderson
Neutral(s): Kenneth Dymond, Francis Xavior Daumen, Ronald F. Thompson
Hearing Site: Buffalo, NY
|
Award | FINRA | 09/26/2025 |
| 24-02169 | Claimant(s): Lamard Smith
Claimant Representative(s): Lamard Smith
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Farrah R. Berse
Neutral(s): Jonathan B. Gilbert, David S. Eisenberg, Lauren A. Newell
Hearing Site: Raleigh, NC
|
Award | FINRA | 09/26/2025 |
| 24-00547 | Claimant(s): Dennis Salem
Claimant Representative(s): Dennis Salem
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Adam M. Kauff
Neutral(s): Robert J. Scafuri, Kevin Brodar, John Martin Kooman
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 09/26/2025 |
| 24-02502 | Claimant(s): George Fowler
Claimant Representative(s): George S. Fowler
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): James A. McIntosh, Thomas Edward Couch, Ellen M. Kelly
Hearing Site: St. Louis, MO
|
Award | FINRA | 09/25/2025 |
| 25-00315 | Claimant(s): Bradley Epstein, Michael Kolacz
Claimant Representative(s): Seth I. Rubinson
Respondent(s): International Assets Advisory, LLC
Respondent Representative(s): Myra P. Nicholson
Neutral(s): Judith C. Zerden, Michael H DuBoff, Ira A. Auerbach
Hearing Site: Dallas, TX
|
Award | FINRA | 09/25/2025 |
| 20-01396 | Claimant(s): David Boral, Joseph Rallo
Claimant Representative(s): Robert L. Herskovits
Respondent(s): Anthony Lapadula, Robert Eide, Aegis Capital Corp., Benchmark Investments, Inc.
Respondent Representative(s): Alan M. Wolper, Richard A. Roth
Neutral(s): James J. Fishman, Peter A. Goldman, Howard L. Haykin
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 09/24/2025 |
| 20-01396 | Claimant(s): David Boral, Joseph Rallo
Claimant Representative(s): Robert L. Herskovits
Respondent(s): Anthony Lapadula, Robert Eide, Aegis Capital Corp., Benchmark Investments, Inc.
Respondent Representative(s): Alan M. Wolper, Richard A. Roth
Neutral(s): James J. Fishman, Peter A. Goldman, Howard L. Haykin
Hearing Site: New York, NY
|
Award | FINRA | 09/24/2025 |