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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-02186 | Claimant(s): LPL Financial LLC
Claimant Representative(s): Samuel P. Mauch
Respondent(s): Christian Zernich
Respondent Representative(s): Christian C. Zernich
Neutral(s): Robert J. Scafuri, John J. Neely, Valerie G. Fitzgerald
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 07/20/2026 |
| 25-00951 | Claimant(s): Nicholas Nuzzi
Claimant Representative(s): Andrew R Park
Respondent(s): Jesse Krapf, Joao Pinto, Spartan Capital Securities, LLC
Respondent Representative(s): Andrew L. Bolton, Jesse D Krapf, Joao Amorim Pinto
Neutral(s): Tina E. Patterson, James Andrew Calder, Krista Shreet
Hearing Site: Norfolk, VA
|
Motion to Vacate | FINRA | 07/17/2026 |
| 25-00951 | Claimant(s): Nicholas Nuzzi
Claimant Representative(s): Andrew R Park
Respondent(s): Jesse Krapf, Joao Pinto, Spartan Capital Securities, LLC
Respondent Representative(s): Andrew L. Bolton, Jesse D Krapf, Joao Amorim Pinto
Neutral(s): Tina E. Patterson, James Andrew Calder, Krista Shreet
Hearing Site: Norfolk, VA
|
Award | FINRA | 07/17/2026 |
| 26-00431 | Claimant(s): Derek Ambrosi
Claimant Representative(s): Derek Ambrosi
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Valerie Holder
Neutral(s): Keely D. Parr
Hearing Site: Hartford, CT
|
Award | FINRA | 07/17/2026 |
| 25-02624 | Claimant(s): Oybek Giyazov
Claimant Representative(s): Michael M. Gless
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff Beckham
Neutral(s): Gregory D. Hoffmann, Susan L. Luck, Evalyn Lipton Fishbein
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/17/2026 |
| 26-00306 | Claimant(s): Albert Eggert
Claimant Representative(s): Albert Eggert
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): Ronald Stephen Robins
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/17/2026 |
| 26-00083 | Claimant(s): Christopher Smith
Claimant Representative(s): Austin Davis
Respondent(s): Lincoln Financial Distributors, Inc.
Respondent Representative(s): Michael Arnold
Neutral(s): Steven M. Feder
Hearing Site: Denver, CO
|
Award | FINRA | 07/17/2026 |
| 26-00365 | Claimant(s): Diana Wunder
Claimant Representative(s): Diana M. Wunder
Respondent(s): Brent Maurer, Wells Fargo Advisors Financial Network
Respondent Representative(s): Christina J. Herrera
Neutral(s): Diane Ciccone
Hearing Site: Philadelphia, PA
|
Award | FINRA | 07/17/2026 |
| 26-00727 | Claimant(s): Raymond James & Associates, Inc.
Claimant Representative(s): Michael A. Brady
Respondent(s): Heather Bolster
Respondent Representative(s): Heather Marie Bolster
Neutral(s): Katherine Hendricks
Hearing Site: Seattle, WA
|
Award | FINRA | 07/16/2026 |
| 25-02154 | Claimant(s): William Hernandez
Claimant Representative(s): William Lopez Hernandez
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett R. Wynne
Neutral(s): Dineo Coleman Gary, Fern M. Laethem, Stephanie E. Simmons
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/16/2026 |
| 24-02522 | Claimant(s): Lea Wiviott Boracchia, Marc Boracchia
Claimant Representative(s): Michael J. Khouri
Respondent(s): Michael Byrne, Northwestern Mutual Investment Services
Respondent Representative(s): Christopher A. Parlo, Connie M. Fickel
Neutral(s): Peter H. Daly, Carol Ann Jensen, Kiosha L Ford
Hearing Site: San Francisco, CA
|
Award | FINRA | 07/16/2026 |
| 25-00416 | Claimant(s): Coralia Boudreaux
Claimant Representative(s): Coralia Claudia Boudreaux
Respondent(s): Candida Harris, Edward Jones
Respondent Representative(s): Joseph T. Kohn
Neutral(s): Steven Gerard Goerke, Will Murphy, Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/15/2026 |
| 25-00416 | Claimant(s): Coralia Boudreaux
Claimant Representative(s): Coralia Claudia Boudreaux
Respondent(s): Candida Harris, Edward Jones
Respondent Representative(s): Joseph T. Kohn
Neutral(s): Steven Gerard Goerke, Will Murphy, Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Motion to Vacate | FINRA | 07/15/2026 |
| 25-02324 | Claimant(s): Raymond Sardina
Claimant Representative(s): Bruce W. Barnes
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Michael S. Lamont
Neutral(s): Vincent C. Pangia, Paul Bennett Marrow, Eric Ross Cromartie
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/14/2026 |
| 25-01736 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): William McC Montgomery
Respondent(s): Mathew Tong
Respondent Representative(s): Mathew Tong
Neutral(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|
Award | FINRA | 07/14/2026 |