For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-01464 | Claimant(s): Christopher Bouley
Claimant Representative(s): Seth I. Rubinson
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Ira G. Rosenstein
Neutral(s): Susan F. Drogin, Mary Elizabeth Satran, Stacey Price Nakasian
Hearing Site: Providence, RI
|
Award | FINRA | 11/28/2025 |
| 25-00736 | Claimant(s): Michael Bruggemann
Claimant Representative(s): Peter Lindholm
Respondent(s): Osaic Services, Inc.
Respondent Representative(s): Eric A. Michaels
Neutral(s): Carol M. Egan, Richard P. Regan, Thomas P. Valenti
Hearing Site: Honolulu, HI
|
Award | FINRA | 11/28/2025 |
| 25-00758 | Claimant(s): TradeStation Securities, Inc.
Claimant Representative(s): Myra C. Mormile-Wolper
Respondent(s): Nicole Conti
Respondent Representative(s): Nicole Conti
Neutral(s): Donald Dreyfus
Hearing Site: Las Vegas, NV
|
Award | FINRA | 11/28/2025 |
| 25-00053 | Claimant(s): Kenneth Andrew Janello Estate
Claimant Representative(s): Amy E Sturge
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Daniel Robbins, Harold Wade Lavender, Robyn M Hill
Hearing Site: Albuquerque, NM
|
Award | FINRA | 11/26/2025 |
| 25-00576 | Claimant(s): Neil Grant
Claimant Representative(s): Peter Lindholm
Respondent(s): Morgan Stanley
Respondent Representative(s): Olaniyi Solebo
Neutral(s): Paul H. Lamboley, Cheryl H. Agris, Michael A. Orticelle
Hearing Site: Dallas, TX
|
Award | FINRA | 11/26/2025 |
| 24-02086 | Claimant(s): William Hennion
Claimant Representative(s): Jennifer B. Woods Burke
Respondent(s): Hennion & Walsh, Inc.
Respondent Representative(s): Jennifer B. Woods Burke
Neutral(s): Stephany Adriene Watson, Robert J. Gregory, Gregory J. Getz
Hearing Site: Jersey City, NJ
|
Award | FINRA | 11/25/2025 |
| 25-01102 | Claimant(s): Ronald Martin
Claimant Representative(s): Anthony J. Durone
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Eric A. Michaels
Neutral(s): Dora M. Lassinger, Daniel B. MacLeod, Ira A. Auerbach
Hearing Site: St. Louis, MO
|
Award | FINRA | 11/25/2025 |
| 24-02496 | Claimant(s): Lewis Morris and Pamela Morris
Claimant Representative(s): Pamela Morris
Respondent(s): Gregory Mueller, Robert Mueller
Respondent Representative(s): Jonathan M. Sterling
Neutral(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
|
Award | FINRA | 11/25/2025 |
| 24-02251 | Claimant(s): Ameriprise Financial Services, LLC, Ameriprise Captive Insurance Company
Claimant Representative(s): Danya W. Blair
Respondent(s): Dusty Sternadel
Respondent Representative(s): Dusty Lynn Sternadel
Neutral(s): James W. Kerr, John Kenneth Popham, Christopher John Rowland
Hearing Site: Dallas, TX
|
Award | FINRA | 11/25/2025 |
| 24-02398 | Claimant(s): William Evans
Claimant Representative(s): Owen Harnett
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): David A. Schuler
Hearing Site: Houston, TX
|
Award | FINRA | 11/25/2025 |
| 24-02068 | Claimant(s): James Harding
Claimant Representative(s): Alex Padla
Respondent(s): Morgan Stanley
Respondent Representative(s): Alan D. Romero
Neutral(s): Langfred W. White, James R. McGuone, Val D. Hornstein
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/25/2025 |
| 24-00543 | Claimant(s): Bluefin Research Partners, Inc.
Claimant Representative(s): Philip M. Giordano
Respondent(s): Brian Kritzer, Gerald Battista, Paul Peterson, Rebecca Duval
Respondent Representative(s): Jason J. Kane, Philip M. Giordano
Neutral(s): Richard J. Grahn, Christine Horan, Elise Frost Alair
Hearing Site: Boston, MA
|
Award | FINRA | 11/25/2025 |
| 24-00543 | Claimant(s): Bluefin Research Partners, Inc.
Claimant Representative(s): Philip M. Giordano
Respondent(s): Brian Kritzer, Gerald Battista, Paul Peterson, Rebecca Duval
Respondent Representative(s): Jason J. Kane, Philip M. Giordano
Neutral(s): Richard J. Grahn, Christine Horan, Elise Frost Alair
Hearing Site: Boston, MA
|
Motion to Vacate | FINRA | 11/25/2025 |
| 25-00273 | Claimant(s): Parker King
Claimant Representative(s): Alex Padla
Respondent(s): Western International Securities, Inc.
Respondent Representative(s): Mary Simonson
Neutral(s): Janice L. Sperow, Ralph L. Jacobson, Dianne Marie Onichimowski
Hearing Site: Denver, CO
|
Award | FINRA | 11/24/2025 |
| 25-01141 | Claimant(s): Sandro Olivos
Claimant Representative(s): Kathy M. Klock
Respondent(s): Ocean Financial Services, LLC
Respondent Representative(s): Kathy M. Klock
Neutral(s): Peter Ordower, Thomas P. Valenti, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
|
Award | FINRA | 11/24/2025 |