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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00272 | Claimant(s): Jett Jeter
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James S. Bradbury
Neutral(s): Karen Roberts Washington
Hearing Site: Dallas, TX
|
Award | FINRA | 10/17/2025 |
| 25-00671 | Claimant(s): Bo Wang
Claimant Representative(s): Austin Davis
Respondent(s): World Investments, Inc.
Respondent Representative(s): J. Steven Parker
Neutral(s): Serge Krimnus
Hearing Site: Jersey City, NJ
|
Award | FINRA | 10/17/2025 |
| 25-00372 | Claimant(s): Sean Carlstrom
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): William Montgomery
Neutral(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
|
Award | FINRA | 10/17/2025 |
| 25-01569 | Claimant(s): James Hilton
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Carol H. Gold, Richard J. Lawrence, Catherine Stewart
Hearing Site: Providence, RI
|
Award | FINRA | 10/17/2025 |
| 24-01069 | Claimant(s): Omid Kamali
Claimant Representative(s): Michael A Valenti
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Dean J. Dietrich, David I. Levine, Fred Fuld
Hearing Site: San Francisco, CA
|
Award | FINRA | 10/16/2025 |
| 24-02137 | Claimant(s): Andrew Book
Claimant Representative(s): Andrew Michael Book
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Shannon L.C. Ammon
Neutral(s): Edward W. Morris, Richard Asher Louisell, Barry Allen Wells
Hearing Site: Philadelphia, PA
|
Award | FINRA | 10/16/2025 |
| 23-02820 | Claimant(s): John Lowry, Kim Monchik
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Maureen Toale
Neutral(s): Howard D. Jacob
Hearing Site: New York, NY
|
Award | FINRA | 10/14/2025 |
| 25-00563 | Claimant(s): Alice Krell
Claimant Representative(s): Alice Krell
Respondent(s): LPL Financial LLC
Respondent Representative(s): Eric A. Michaels
Neutral(s): Anita Rae Shapiro, Aurelio A. Garcia, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/14/2025 |
| 25-01305 | Claimant(s): Tricia Zelinka
Claimant Representative(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Representative(s): Andrew Joyce
Neutral(s): Vicki J. Limas, Neil Harvey Smith, Thomas M. Madden
Hearing Site: Philadelphia, PA
|
Award | FINRA | 10/14/2025 |
| 25-01055 | Claimant(s): Mary McDougall
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Stuart S. Mukamal, Tracy L. Allen, Christopher J. Klein
Hearing Site: Minneapolis, MN
|
Award | FINRA | 10/14/2025 |
| 23-02836 | Claimant(s): John Lowry, Kim Monchik
Claimant Representative(s): Thomas P. McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Amalia Chin
Neutral(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
|
Award | FINRA | 10/13/2025 |
| 25-01104 | Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Myra C. Mormile-Wolper
Respondent(s): Markell Abonce
Respondent Representative(s): Markell Abonce
Neutral(s): David Aaron DeSoto
Hearing Site: Houston, TX
|
Award | FINRA | 10/13/2025 |
| 25-01056 | Claimant(s): Justin Fruhwirth
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Kathy A. Tatone, Edward W. Morris, Michael John Florio
Hearing Site: Dallas, TX
|
Award | FINRA | 10/13/2025 |
| 25-00704 | Claimant(s): E. Steinberg
Claimant Representative(s): Jonathan Uretsky
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Alexa P. Saberito
Neutral(s): Julius Z. Frager, Allan N. Taffet, Avery B. Goodman
Hearing Site: Philadelphia, PA
|
Award | FINRA | 10/10/2025 |
| 22-02700 | Claimant(s): Roger Kriete
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Reid & Rudiger LLC
Respondent Representative(s): Joel S. Forman
Neutral(s): Sal Presti, Mark A. Frankel, Bridget Byrnes
Hearing Site: Milwaukee, WI
|
Award | FINRA | 10/10/2025 |