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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-00266 | Claimant(s): Kevin Carnahan, Laurie Carnahan, Carnahan Revocable Trust
Claimant Representative(s): Jerry Santangelo
Respondent(s): Nathan Paulson, Paulson Wealth Management, Inc.
Respondent Representative(s): James L. Kopecky
Neutral(s): Raymond P. Buschmann, Jacqueline Stanley Lustig, Douglas Howard Edelman
Hearing Site: Chicago, IL
|
Award | FINRA | 08/18/2025 |
| 24-01642 | Claimant(s): Robert Hoefel
Claimant Representative(s): Janelle E. Chase Fazio
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Justin E. Condit
Neutral(s): John M. Casey, Thomas R. Dreiling, Michael John Seng
Hearing Site: Seattle, WA
|
Award | FINRA | 08/18/2025 |
| 25-00518 | Claimant(s): Gus Mask
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research, Inc.
Respondent Representative(s): Emily Azzarito
Neutral(s): Gregory G. Gocek, Lawrence R. Maxwell, Paul J. Burkhart
Hearing Site: Dallas, TX
|
Award | FINRA | 08/18/2025 |
| 24-01293 | Claimant(s): Katline Alexandre
Claimant Representative(s): Ezra Salami
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Heather Cooper
Neutral(s): Lorrie E Whitfield, Roy Lukins Rowsell, Robyn Weisman
Hearing Site: New York, NY
|
Award | FINRA | 08/18/2025 |
| 25-00803 | Claimant(s): ScanAsia Consulting Ltd
Claimant Representative(s): Staffan G Lofgren
Respondent(s): Morgan Stanley
Respondent Representative(s): Olaniyi Solebo
Neutral(s): Shawn Ridgell
Hearing Site: San Francisco, CA
|
Award | FINRA | 08/15/2025 |
| 24-01887 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Paul Yarns
Respondent(s): Thomas Lanier
Respondent Representative(s): Thomas Stewart Lanier
Neutral(s): Langfred W. White
Hearing Site: Raleigh, NC
|
Award | FINRA | 08/15/2025 |
| 25-00486 | Claimant(s): Daniel Schmeling
Claimant Representative(s): Daniel L. Schmeling
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Frank J. Cuccio
Neutral(s): Michael A. Meyer
Hearing Site: Nashville, TN
|
Award | FINRA | 08/15/2025 |
| 24-01994 | Claimant(s): Tat Chan
Claimant Representative(s): Austin Davis
Respondent(s): HSBC Securities (USA) Inc.
Respondent Representative(s): Terry L. Higham
Neutral(s): Andrew W. Levin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 08/15/2025 |
| 23-02906 | Claimant(s): Roberto Dejesuspou
Claimant Representative(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 08/15/2025 |
| 24-02495 | Claimant(s): Jason Conwell
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Gerry A. Giurato
Neutral(s): John Kenneth Popham
Hearing Site: Dallas, TX
|
Award | FINRA | 08/14/2025 |
| 24-02163 | Claimant(s): Daintry Price
Claimant Representative(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Representative(s): Kathy Adams
Neutral(s): Herb Schwartz, Michael L. Lyons, Joseph C. Watson
Hearing Site: Seattle, WA
|
Award | FINRA | 08/14/2025 |
| 23-02135 | Claimant(s): Michael Ratliff
Claimant Representative(s): WD Masterson
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Marcia A. Washkuhn
Neutral(s): Jacqueline R. Fox, Stephanie E. Simmons, Sylvia Ann Mayer
Hearing Site: Houston, TX
|
Award | FINRA | 08/14/2025 |
| 22-01162 | Claimant(s): Claire Kerstetter
Claimant Representative(s): Gary T. Vanasdale
Respondent(s): LPL Financial LLC, Bryan Davis
Respondent Representative(s): Bentley Stansbury
Neutral(s): David M. Panko, Rosemary Christina Crawford, Thomas J Zahren
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 08/14/2025 |
| 24-00120 | Claimant(s): Joshua Rubel
Claimant Representative(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Stuart D. Roberts
Neutral(s): David S. Billet
Hearing Site: New York, NY
|
Award | FINRA | 08/14/2025 |
| 24-01490 | Claimant(s): Howard Yokley, Yokley Investments LLC, Roy Yokley Living Trust, Troy Yokley Living Trust, Yokley Investments Trust
Claimant Representative(s): Robert W. Buchholz
Respondent(s): Centaurus Financial, Inc.
Respondent Representative(s): Kendra S. Canape
Neutral(s): David A. Schuler, Jon Richard Catten, Charles McGarry
Hearing Site: Oklahoma City, OK
|
Award | FINRA | 08/14/2025 |