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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01168 | Claimant(s): Karl Jones
Claimant Representative(s): Karl Lorenzo Jones
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kevin S. Blume
Neutral(s): Karen Roberts Washington
Hearing Site: Houston, TX
|
Award | FINRA | 02/27/2026 |
| 24-02667 | Claimant(s): Joseph Rallo
Claimant Representative(s): Joshua Klein
Respondent(s): D. Boral Capital
Respondent Representative(s): Jay K. Musoff
Neutral(s): Kimberly C. Lawrence, Harvey E. Benjamin, Angela Jameson
Hearing Site: New York, NY
|
Award | FINRA | 02/27/2026 |
| 25-02263 | Claimant(s): Robert Cohen
Claimant Representative(s): Theodore R. Snyder
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Jeffrey C. Primiano
Neutral(s): Ted M. Rosen, Richard E. Lauziere, Marilee Roberg
Hearing Site: New York, NY
|
Award | FINRA | 02/26/2026 |
| 24-02390 | Claimant(s): Mark Aizenberg, Timothy Johnson
Claimant Representative(s): Jeremy S Millstone
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Kenneth J. Turnbull
Neutral(s): Helen Marinak Blohm, Carol Ann Jensen, Ralph L. Jacobson
Hearing Site: San Francisco, CA
|
Award | FINRA | 02/25/2026 |
| 25-00645 | Claimant(s): Margaret Santiago
Claimant Representative(s): Michael C. Bixby
Respondent(s): Glenn Romer, Center Street Securities, Inc.
Respondent Representative(s): Glenn J Romer, Unbo Chung
Neutral(s): Sidney J. Wartel, Nofrey Matthew Fornaro, Santarvis Brown
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/25/2026 |
| 25-01146 | Claimant(s): Edward Bacher
Claimant Representative(s): Jennifer Cox
Respondent(s): Voya Financial Advisors, Inc.
Respondent Representative(s): Benjamin J. Biard
Neutral(s): F. Guthrie Castle, Mary C. Davis, Christopher M. McMurray
Hearing Site: Columbus, OH
|
Award | FINRA | 02/25/2026 |
| 25-01674 | Claimant(s): Jared Hoffman
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): James W. Kerr, Robert J. Buchner, Geoffrey A. Drucker
Hearing Site: Columbus, OH
|
Award | FINRA | 02/25/2026 |
| 25-00864 | Claimant(s): Maureen Snyder
Claimant Representative(s): Jon-Jorge Aras
Respondent(s): New England Securities Corporation
Respondent Representative(s): Martin Harris
Neutral(s): Michael J. Meeusen
Hearing Site: Buffalo, NY
|
Award | FINRA | 02/24/2026 |
| 25-02104 | Claimant(s): Mario Manniello
Claimant Representative(s): Mario Manniello
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Mark H. Schiff
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/24/2026 |
| 24-02527 | Claimant(s): Paul Galietto
Claimant Representative(s): Steven Eckhaus
Respondent(s): Credit Suisse Securities (USA) LLC, UBS Group AG
Respondent Representative(s): Victoria Sloan Lin
Neutral(s): Kenneth Diamond, Susan C. Lushing, Jay Alan Kranis
Hearing Site: New York, NY
|
Award | FINRA | 02/23/2026 |
| 25-01987 | Claimant(s): Michael Perkins
Claimant Representative(s): Mike L. Perkins
Respondent(s): Stonex Securities Inc.
Respondent Representative(s): Craig L. Hymowitz
Neutral(s): Jeffrey M. Bain
Hearing Site: Cincinnati, OH
|
Award | FINRA | 02/23/2026 |
| 25-01395 | Claimant(s): Sydney Hill
Claimant Representative(s): Sydney Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Erin Sinclair
Neutral(s): Jeffrey L. Malek
Hearing Site: San Diego, CA
|
Award | FINRA | 02/23/2026 |
| 25-02267 | Claimant(s): Robert Warren
Claimant Representative(s): David I. Hantman
Respondent(s): Hightower Securities, LLC
Respondent Representative(s): Meghan E. Flinn
Neutral(s): Isidoro Berkman, Nicholas John Taldone, Patricia Ann Tracey
Hearing Site: Birmingham, AL
|
Award | FINRA | 02/20/2026 |
| 25-01882 | Claimant(s): Maksim Spirin
Claimant Representative(s): Maksim Spirin
Respondent(s): Webull Financial LLC
Respondent Representative(s): Naomi Babu
Neutral(s): Michael Harrison
Hearing Site: Los Angeles, CA
|
Award | FINRA | 02/20/2026 |
| 23-01789 | Claimant(s): Chris Katsimpalis, Lorraine Katsimpalis
Claimant Representative(s): Michael C. Bixby
Respondent(s): Morgan Stanley
Respondent Representative(s): Peter S. Fruin
Neutral(s): Charles E. White, Tinisha Monique Glenn, Henry Carey Strickland
Hearing Site: Birmingham, AL
|
Award | FINRA | 02/20/2026 |