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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01355 | Claimant(s): Nisjet Lapi
Claimant Representative(s): Nisjet Lapi
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Tina Alison Davis
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 12/05/2025 |
| 24-02475 | Claimant(s): Shirley Antonini
Claimant Representative(s): Kathryn L. Simpson
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Keith J. Barnett
Neutral(s): Elliot B. Platt, John P. Azzopardi, Gregory J. Spadea
Hearing Site: Philadelphia, PA
|
Award | FINRA | 12/05/2025 |
| 24-01157 | Claimant(s): Luke Lannister
Claimant Representative(s): Austin Davis
Respondent(s): Cuso Financial Services, L.P., Grove Point Investments, LLC
Respondent Representative(s): Lydia R. Zaidman
Neutral(s): Diane Ciccone, Kimberly A. Gilmour, John J. Fitzpatrick
Hearing Site: Baltimore, MD
|
Award | FINRA | 12/04/2025 |
| 24-00936 | Claimant(s): Boustead Securities, LLC
Claimant Representative(s): Tara Hopper Rice
Respondent(s): AERWINS Inc., AERWINS Technologies Inc.
Respondent Representative(s): Corporate Officer, Registered Agent
Neutral(s): Marc S. Joseph, BaoKim N. Coleman, Peter A. Neumann
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/04/2025 |
| 25-01060 | Claimant(s): Karl Klingmann II
Claimant Representative(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc
Respondent Representative(s): Amy S. Towle
Neutral(s): Jill Pilgrim, Richard J. Lawrence, Donald M. Thompson
Hearing Site: Wilmington, DE
|
Award | FINRA | 12/04/2025 |
| 23-03606 | Claimant(s): Dan Wagner
Claimant Representative(s): Alan Wolper
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Representative(s): Alan Wolper, Garry T. Stevens
Neutral(s): Gayle B. Carlson, Laura Puccia Valtorta, Joseph Rodney Starr
Hearing Site: Charlotte, NC
|
Award | FINRA | 12/03/2025 |
| 23-03606 | Claimant(s): Dan Wagner
Claimant Representative(s): Alan Wolper
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Representative(s): Alan Wolper, Garry T. Stevens
Neutral(s): Gayle B. Carlson, Laura Puccia Valtorta, Joseph Rodney Starr
Hearing Site: Charlotte, NC
|
Motion to Vacate | FINRA | 12/03/2025 |
| 25-01939 | Claimant(s): Gerard Costello
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Ted M. Rosen, Constance Ellen Boukidis, David A. Schuler
Hearing Site: New York, NY
|
Award | FINRA | 12/03/2025 |
| 24-01857 | Claimant(s): Anthony Lawson, Cynthia Clark, Dale Samuels, Delfinia McGriff, Gloria Sweeney, Margarite Raysor, Marla Boone-McCray, Mary McClendon, Mary Samuels, Mildred White
Claimant Representative(s): Michael C. Bixby
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz
Neutral(s): Cindy L. Anderson, Meeta Alberta Bass, Tyrone Nathaniel Watson
Hearing Site: Jacksonville, FL
|
Award | FINRA | 12/03/2025 |
| 25-01460 | Claimant(s): Nicholas Sammy
Claimant Representative(s): Nicholas Sammy
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): Leslie L. Cooney
Hearing Site: Orlando, FL
|
Award | FINRA | 12/02/2025 |
| 23-00590 | Claimant(s): Martin Hack
Claimant Representative(s): Martin Hack
Respondent(s): Damon Gallagher, Morgan Stanley, Michael Farrell, Michael Sherrill
Respondent Representative(s): Joseph L. Calabrese
Neutral(s): Edward R. Niederriter, Will Murphy, Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/02/2025 |
| 23-03280 | Claimant(s): Gongyi Lin
Claimant Representative(s): Charles Yongjun Fu
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Daniel A. Spector
Neutral(s): William M. Bankston, Barbara M. Anscher, Daniel Seligman
Hearing Site: Anchorage, AK
|
Award | FINRA | 12/02/2025 |
| 23-01082 | Claimant(s): Adam Carlat, Gavin Jensen, Robert Young, One2One Wealth Strategies, LLC
Claimant Representative(s): Mahdi Ibrahim
Respondent(s): PlanMember Financial Corporation, PlanMember Securities Corporation, PlanMember Services Corporation
Respondent Representative(s): Brandon S. Reif
Neutral(s): Barbara M. Zak, Keny Edgar Chang Leon
Hearing Site: Los Angeles, CA
|
Motion to Vacate | FINRA | 12/02/2025 |
| 23-01082 | Claimant(s): Adam Carlat, Gavin Jensen, Robert Young, One2One Wealth Strategies, LLC
Claimant Representative(s): Mahdi Ibrahim
Respondent(s): PlanMember Financial Corporation, PlanMember Securities Corporation, PlanMember Services Corporation
Respondent Representative(s): Brandon S. Reif
Neutral(s): Barbara M. Zak, Keny Edgar Chang Leon
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/02/2025 |
| 25-00537 | Claimant(s): Sibyl Woo
Claimant Representative(s): James P. Galvin
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Esther E. Cho
Neutral(s): Ilene T. Gormly, Andrew M. Mintzer, John J. Fitzpatrick
Hearing Site: Phoenix, AZ
|
Award | FINRA | 12/01/2025 |