| 25-00185 |
Claimant(s): Kristina Kiley
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): George Terlizzi
Respondent Representative(s): George Terlizzi
Neutral(s): Charles L.A. Terreni
Hearing Site: Charlotte, NC
|
Award |
FINRA |
06/09/2026 |
| 25-02226 |
Claimant(s): Andrew Lee
Claimant Representative(s): Peter Lindholm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): George G. Kurschner, Stuart K. Furman, Joseph Neal Richardson
Hearing Site: Los Angeles, CA
|
Award |
FINRA |
06/09/2026 |
| 25-02757 |
Claimant(s): Guy Zaslavsky
Claimant Representative(s): Guy Zaslavsky
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M Schopf
Neutral(s): Eric Goldman
Hearing Site: New York, NY
|
Award |
FINRA |
06/09/2026 |
| 25-00435 |
Claimant(s): Candyce Myers
Claimant Representative(s): Scott L. Silver
Respondent(s): Arkadios Capital
Respondent Representative(s): Heidi E. VonderHeide
Neutral(s): Arocles Aguilar, Mary Mackey, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|
Award |
FINRA |
06/09/2026 |
| 25-00435 |
Claimant(s): Candyce Myers
Claimant Representative(s): Scott L. Silver
Respondent(s): Arkadios Capital
Respondent Representative(s): Heidi E. VonderHeide
Neutral(s): Arocles Aguilar, Mary Mackey, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|
Motion to Vacate |
FINRA |
06/09/2026 |
| 25-01532 |
Claimant(s): William Shepard
Claimant Representative(s): Josef Y. Rosen
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Benjamin F. Breslauer, Kirtley M. Thiesmeyer, Carl F. Bowmer
Hearing Site: Orlando, FL
|
Award |
FINRA |
06/08/2026 |
| 25-00684 |
Claimant(s): Shane Saplitsky
Claimant Representative(s): Jared M. Wichnovitz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Jeff Goldman
Neutral(s): Edith M. Novack
Hearing Site: Jersey City, NJ
|
Award |
FINRA |
06/08/2026 |
| 25-01429 |
Claimant(s): Haydee Delgado
Claimant Representative(s): Roberto C. Quiñones Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Vélez
Neutral(s): Susan L. Luck, Louis David Huss, Michael Evan Beckman
Hearing Site: San Juan, PR
|
Award |
FINRA |
06/08/2026 |
| 25-01862 |
Claimant(s): Edward Valderrama
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz-Rivera
Neutral(s): Phillip Weitzman
Hearing Site: New York, NY
|
Award |
FINRA |
06/08/2026 |
| 25-02140 |
Claimant(s): James Peters
Claimant Representative(s): Brian R. Luther
Respondent(s): Centaurus Financial, Inc.
Respondent Representative(s): Michael J. Carey
Neutral(s): Barbara Black, Linda J. Baer, Kevin Brodar
Hearing Site: Los Angeles, CA
|
Award |
FINRA |
06/08/2026 |
| 26-00220 |
Claimant(s): Kathryn L. Fife
Claimant Representative(s): Kathryn L Fife
Respondent(s): Primerica Brokerage Services, Inc.
Respondent Representative(s): Wes Holston
Neutral(s): Allan R. Lazor
Hearing Site: Little Rock, AR
|
Award |
FINRA |
06/05/2026 |
| 26-00124 |
Claimant(s): Liliya Lebedeva
Claimant Representative(s): Anton Dentchouk
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Jason O. Billy
Neutral(s): Thomas M. Madden
Hearing Site: New York, NY
|
Award |
FINRA |
06/05/2026 |
| 22-01082 |
Claimant(s): Albert Konetzni, Alexander Uzaga, Allen Bealer, Arnold Anderson, Bonnie Smith, Brian Nordhagen, Bruce Ferris, Bruce Smith, Bryan Forstman, Catherin Clayton, Craig Mcivor, Dan Roark, Dan Shalhoub, Daniel Huntley, David Briss, David Chaplin, David Clayton, David Gable, David Gillespie, David Iverson, David Kolesar, David Parta, David Petterson, David York, Dennis Knight, Dennis Mcbroom, Denny Lenz, Diane Jones, Dominic Frio, Donald Bishop, Douglas Williams, Dustin McCurdy, Eddie Fischer, Eddie Yaklin, Fredrick Johnson, Gary Beck, Gary Carlisle, Gerald Johnson, Gordon Smith, Grant Lambert, Greg Pravecek, Harvey Cohen, Harvey Segal, Henry Salomonsky, Holly Fleschler, Huxley Richardson, James Knapp, James Schwartz, Janet Silke, Jason Guzak, Jeffrey Hipp, Jeffry Pickens, Jerome Finn, John Boucher, John Loy, John Restivo, Johnathan Teske, Joseph Acquarulo, Keith Bostrom, Kenneth Clark, Kent Penrod, Kerry Hopkins, Kevin Benz, Kevin Thurston, Lance Oslinker, Lawrence Clarke, Maria Roark, Mark Siegel, Marshall Reid, Martin Pressman, Marvin Rietema, Matthew Whitmus, Michael Backus, Michael Thomas, Michael Winje, Miguel Tavarez, Nathan Iverson, Oystein Haaverstad, Perviz Guard, Renae Bostrom, Richard Curry, Richard Dawalt, Richard McGinnis, Richard O'brien, Robert Hayes, Robert Odenheimer, Robert Winter Burkett, Rodney Krab, Roger Lynn, Ronald Gagnon, Ronald Miller, Russell Piburn, Scott Haag, Scott Welch, Shirley Lane-Konetzni, Stanley Fleischer, Stephen Collins, Stephen Fleschler, Steven Brown, Stuart Laan, Ted Brown, Terry Murff, Theodore Hovda, Theresa Ferris, Thomas Hodd, Thomas Riddle, Thomas Skjold, Thomas Woosley, William Siefert, William Silke, Pravecek Bros Inc., Estate Of Serena I. Cohen
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Axos Clearing LLC
Respondent Representative(s): Carl S. Burkhalter
Neutral(s): Barbara L. Edin, Gwendolyn Canady, Temitope Oluyomi Popoola
Hearing Site: Houston, TX
|
Award |
FINRA |
06/05/2026 |
| 22-01082 |
Claimant(s): Albert Konetzni, Alexander Uzaga, Allen Bealer, Arnold Anderson, Bonnie Smith, Brian Nordhagen, Bruce Ferris, Bruce Smith, Bryan Forstman, Catherin Clayton, Craig Mcivor, Dan Roark, Dan Shalhoub, Daniel Huntley, David Briss, David Chaplin, David Clayton, David Gable, David Gillespie, David Iverson, David Kolesar, David Parta, David Petterson, David York, Dennis Knight, Dennis Mcbroom, Denny Lenz, Diane Jones, Dominic Frio, Donald Bishop, Douglas Williams, Dustin McCurdy, Eddie Fischer, Eddie Yaklin, Fredrick Johnson, Gary Beck, Gary Carlisle, Gerald Johnson, Gordon Smith, Grant Lambert, Greg Pravecek, Harvey Cohen, Harvey Segal, Henry Salomonsky, Holly Fleschler, Huxley Richardson, James Knapp, James Schwartz, Janet Silke, Jason Guzak, Jeffrey Hipp, Jeffry Pickens, Jerome Finn, John Boucher, John Loy, John Restivo, Johnathan Teske, Joseph Acquarulo, Keith Bostrom, Kenneth Clark, Kent Penrod, Kerry Hopkins, Kevin Benz, Kevin Thurston, Lance Oslinker, Lawrence Clarke, Maria Roark, Mark Siegel, Marshall Reid, Martin Pressman, Marvin Rietema, Matthew Whitmus, Michael Backus, Michael Thomas, Michael Winje, Miguel Tavarez, Nathan Iverson, Oystein Haaverstad, Perviz Guard, Renae Bostrom, Richard Curry, Richard Dawalt, Richard McGinnis, Richard O'brien, Robert Hayes, Robert Odenheimer, Robert Winter Burkett, Rodney Krab, Roger Lynn, Ronald Gagnon, Ronald Miller, Russell Piburn, Scott Haag, Scott Welch, Shirley Lane-Konetzni, Stanley Fleischer, Stephen Collins, Stephen Fleschler, Steven Brown, Stuart Laan, Ted Brown, Terry Murff, Theodore Hovda, Theresa Ferris, Thomas Hodd, Thomas Riddle, Thomas Skjold, Thomas Woosley, William Siefert, William Silke, Pravecek Bros Inc., Estate Of Serena I. Cohen
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Axos Clearing LLC
Respondent Representative(s): Carl S. Burkhalter
Neutral(s): Barbara L. Edin, Gwendolyn Canady, Temitope Oluyomi Popoola
Hearing Site: Houston, TX
|
Motion to Vacate |
FINRA |
06/05/2026 |
| 24-00704 |
Claimant(s): Andrew Waldbaum, Lisa Detanna
Claimant Representative(s): Scott E. Rahn
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Herb Schwartz, Nicholas John Taldone, Jay H. Feldstein
Hearing Site: Los Angeles, CA
|
Award |
FINRA |
06/04/2026 |