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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01925 | Claimant(s): Bruce Lerner, Kimberly Lerner, Revocable Trust Agmt of Kimberly Kalbac, The Cardinal Revocable Trust, The Cardinal Special Needs Trust Two, The Sequoya Revocable Trust, The Wildcats Revocable Trust
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Randi Perry Spallina
Neutral(s): Barbara M. Zak, Barry A. Fisher, Thomas John Schwingle
Hearing Site: Los Angeles, CA
|
Award | FINRA | 09/18/2025 |
| 25-00697 | Claimant(s): Carrington Coulter
Claimant Representative(s): Bryan Ward
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Joseph C. Watson, Philip Aaron Tymon, Howard Alan Grinsberg
Hearing Site: Charlotte, NC
|
Award | FINRA | 09/18/2025 |
| 25-00932 | Claimant(s): Mihir Jobalia
Claimant Representative(s): Robert L. Herskovits
Respondent(s): Cantor Fitzgerald & Co.
Respondent Representative(s): Gaurav Reddy
Neutral(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
|
Award | FINRA | 09/17/2025 |
| 25-01199 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): William McC Montgomery
Respondent(s): William Nelson
Respondent Representative(s): William Edward Nelson
Neutral(s): Barbara M. Zak
Hearing Site: Phoenix, AZ
|
Motion to Vacate | FINRA | 09/16/2025 |
| 23-01343 | Claimant(s): Paul Meaney
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Representative(s): Greg Curley
Neutral(s): Susan E. Maloney
Hearing Site: Boston, MA
|
Award | FINRA | 09/16/2025 |
| 25-00610 | Claimant(s): Eric Duncan
Claimant Representative(s): Peter Lindholm
Respondent(s): Moloney Securities Co., Inc.
Respondent Representative(s): Matthew D. Turner
Neutral(s): Stuart K. Furman, Richard J. Lawrence, George Pinckney Shingler
Hearing Site: Denver, CO
|
Award | FINRA | 09/16/2025 |
| 25-01199 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): William McC Montgomery
Respondent(s): William Nelson
Respondent Representative(s): William Edward Nelson
Neutral(s): Barbara M. Zak
Hearing Site: Phoenix, AZ
|
Award | FINRA | 09/16/2025 |
| 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 |
| 25-00948 | Claimant(s): Gabriel Eppley
Claimant Representative(s): Gabriel Eppley
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Lawton R. Graves
Neutral(s): Walter Steven Schwartz
Hearing Site: Albuquerque, NM
|
Award | FINRA | 09/15/2025 |
| 23-01182 | Claimant(s): Carol Jackson, Carol Jackson IRA, Carol J. Jackson Revocable Trust U/A DTD, Carol J. Jackson Revocable Trust UAD TR
Claimant Representative(s): D. Daxton White
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Sara Soto
Neutral(s): Denise Morris Hammond, Tyrone Nathaniel Watson, Christy Lyn Foley
Hearing Site: Orlando, FL
|
Award | FINRA | 09/15/2025 |
| 24-00138 | Claimant(s): Roy W. Parker Jr. Revocable Trust
Claimant Representative(s): Michael C. Bixby
Respondent(s): Center Street Securities, Inc.
Respondent Representative(s): Craig A. Riha
Neutral(s): Mauricio Arcadier, Mary Ann Etzler, Lisa J. Cappalli
Hearing Site: Orlando, FL
|
Award | FINRA | 09/15/2025 |
| 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 |