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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01299 | Claimant(s): Hold Brothers Capital LLC
Claimant Representative(s): MIchael H. Ference
Respondent(s): David Tawil
Respondent Representative(s): David Tawil
Neutral(s): John Michael Bergin
Hearing Site: New York, NY
|
Award | FINRA | 10/22/2025 |
| 25-00480 | Claimant(s): Andre Vanhorn
Claimant Representative(s): Brian Luther
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): John Murphy, Shruti Jaishankar
Neutral(s): Steven R. Reininger, Peter H. Daly, Marvin Kent Speigner
Hearing Site: Atlanta, GA
|
Award | FINRA | 10/22/2025 |
| 25-01209 | Claimant(s): Howard McMillan
Claimant Representative(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Barry Goldman, Sandra J. Mullings, William E. Nuckel
Hearing Site: Washington, DC
|
Award | FINRA | 10/22/2025 |
| 25-00131 | Claimant(s): Davit Hambardzumyan
Claimant Representative(s): Davit Hambardzumyan
Respondent(s): U.S. Bancorp Investments, Inc.
Respondent Representative(s): Briana Al Taqatqa
Neutral(s): Thomas J. Gmeinder, Jo Anne F. Lewellen, Michael Allen Meixner
Hearing Site: Minneapolis, MN
|
Award | FINRA | 10/21/2025 |
| 24-01078 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Frank J. Cuccio
Respondent(s): Mark Foley
Respondent Representative(s): Mark Stephen Foley
Neutral(s): Patrick W. McKeon, John Francis Markuns, Stephen James McLaughlin
Hearing Site: Augusta, ME
|
Award | FINRA | 10/21/2025 |
| 25-01147 | Claimant(s): Nemil Vora
Claimant Representative(s): Nemil Vora
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett R. Wynne
Neutral(s): Shawn Ridgell
Hearing Site: San Francisco, CA
|
Award | FINRA | 10/20/2025 |
| 24-02701 | Claimant(s): David Katz
Claimant Representative(s): Hillard M. Sterling
Respondent(s): Northwestern Mutual Investment Services,
Respondent Representative(s): Clarke C. Greene
Neutral(s): David P. Slater, Peter A. Goldman, Michael J. Henke
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/20/2025 |
| 25-00810 | Claimant(s): Kimberly Cimmiyotti
Claimant Representative(s): Eryn Karpinski Hoerster
Respondent(s): LPL Financial LLC
Respondent Representative(s): Rochelle Mayfield
Neutral(s): Leah Murray Albert, Robert M. Lustig, Joseph Neal Richardson
Hearing Site: Portland, OR
|
Award | FINRA | 10/20/2025 |
| 24-01467 | Claimant(s): Joseph Ward
Claimant Representative(s): Christopher H. Tovar
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Andrew M. Sherwood
Neutral(s): Leah Murray Albert, Michele S. Riley, Stephanie Jeannette Charny
Hearing Site: Hartford, CT
|
Award | FINRA | 10/20/2025 |
| 21-01844 | Claimant(s): William Bradley
Claimant Representative(s): Robert M. Bursky
Respondent(s): Lawrence Zelin, Thomas Diamante, SW Financial
Respondent Representative(s): Charles M. O'Rourke
Neutral(s): Eva H. Posman, William A. Rome, Adam M. Kauff
Hearing Site: New York, NY
|
Award | FINRA | 10/20/2025 |
| 25-00728 | Claimant(s): Sokhui Namkung
Claimant Representative(s): Sokhui Namkung
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Karen Roberts Washington
Hearing Site: Houston, TX
|
Award | FINRA | 10/20/2025 |
| 24-02391 | Claimant(s): Intrua Financial, LLC
Claimant Representative(s): Larry Carbo
Respondent(s): William Connington, Connington Wealth Management, LLC
Respondent Representative(s): Vincent J. Failla
Neutral(s): Maryanne M. Esser, Allan R. Lazor, Stanley Santire
Hearing Site: Houston, TX
|
Award | FINRA | 10/20/2025 |
| 24-02391 | Claimant(s): Intrua Financial, LLC
Claimant Representative(s): Larry Carbo
Respondent(s): William Connington, Connington Wealth Management, LLC
Respondent Representative(s): William J. Connington
Neutral(s): Maryanne M. Esser, Allan R. Lazor, Stanley Santire
Hearing Site: Houston, TX
|
Order to Confirm | FINRA | 10/20/2025 |
| 24-02391 | Claimant(s): Intrua Financial, LLC
Claimant Representative(s): Larry Carbo
Respondent(s): William Connington, Connington Wealth Management, LLC
Respondent Representative(s): William J. Connington
Neutral(s): Maryanne M. Esser, Allan R. Lazor, Stanley Santire
Hearing Site: Houston, TX
|
Motion to Vacate | FINRA | 10/20/2025 |
| 24-02423 | Claimant(s): Kion Y. Ramos
Claimant Representative(s): Richard A. Ramos
Respondent(s): Edward Jones, Eric Fenn
Respondent Representative(s): Eric A. Michaels
Neutral(s): Samuel Olutola Akeju
Hearing Site: Houston, TX
|
Award | FINRA | 10/17/2025 |