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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 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 |
| 22-01868 | Claimant(s): Gary Read, Jody Read
Claimant Representative(s): Adolfo J. Anzola
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Edwin A. Zipf
Neutral(s): Julian F. Santos, Mark Stuart Gottlieb, Helayn Cohen
Hearing Site: New York, NY
|
Award | 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 |
| 24-01337 | Claimant(s): Robert Minyard
Claimant Representative(s): Robert J. Minyard
Respondent(s): Oppenheimer & Co., Inc., Paul Nathe
Respondent Representative(s): Donald A. Corbett
Neutral(s): Steven N. Ainbinder, Nancy J. Cliff, Lisa Jane Austein
Hearing Site: Boca Raton, FL
|
Award | FINRA | 09/24/2025 |
| 25-00698 | Claimant(s): Mark Roach
Claimant Representative(s): Peter Lindholm
Respondent(s): Valley Financial Management, Inc.
Respondent Representative(s): Christopher J. Gawley
Neutral(s): John R. Wylie, Leonard Arthur Nelson, Lynne M. Gomez
Hearing Site: Chicago, IL
|
Award | FINRA | 09/23/2025 |
| 24-01751 | Claimant(s): Hyun Opoien
Claimant Representative(s): W. Scott Greco
Respondent(s): Charles Schwab & Co., Inc., Omar Barakat
Respondent Representative(s): James J. Vihstadt, Omar Hazem Barakat
Neutral(s): Michael S. Yauch
Hearing Site: Washington, DC
|
Award | FINRA | 09/23/2025 |
| 23-00995 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina-Velez
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 09/23/2025 |
| 25-00554 | Claimant(s): Kaising Lui
Claimant Representative(s): Austin Davis
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Edwin Rodriguez
Neutral(s): Monica I. Salis, Chandler R. Bridges, Thomas J. Patka
Hearing Site: Los Angeles, CA
|
Award | FINRA | 09/22/2025 |