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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00822 | Claimant(s): Elise Gray
Claimant Representative(s): Elise A. Gray
Respondent(s): Morgan Stanley, Mitchell Swayze
Respondent Representative(s): Ryan Parchment
Hearing Site: Detroit, MI
|
Award | FINRA | 11/05/2025 |
| 25-00822 | Claimant(s): Elise Gray
Claimant Representative(s): Elise A. Gray
Respondent(s): Morgan Stanley, Mitchell Swayze
Respondent Representative(s): Ryan Parchment
Neutral(s): Charles A. Palmer
Hearing Site: Detroit, MI
|
Award | FINRA | 11/05/2025 |
| 25-01027 | Claimant(s): Jian Lin
Claimant Representative(s): Jian Lin
Respondent(s): Robinhood Securities, LLC
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Joyce A. Mitchell
Hearing Site: Washington, DC
|
Award | FINRA | 11/04/2025 |
| 25-01023 | Claimant(s): Hemant Kathuria
Claimant Representative(s): Gregg J. Breitbart
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Representative(s): John Venezia
Neutral(s): Kirtley M. Thiesmeyer, Ronald Harris Kisner, Mary E. Bassett
Hearing Site: New York, NY
|
Award | FINRA | 11/04/2025 |
| 24-01993 | Claimant(s): Nianzu Yan
Claimant Representative(s): Joseph Allgor
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Susan Joplin
Neutral(s): Paul Bennett Marrow
Hearing Site: New York, NY
|
Award | FINRA | 11/04/2025 |
| 25-00202 | Claimant(s): James Christopher
Claimant Representative(s): Jonathan M. Sterling
Respondent(s): LPL Financial LLC
Respondent Representative(s): Matthew T. Bohenek
Neutral(s): Ilene T. Gormly, David L. Ruderman, Sidney J. Wartel
Hearing Site: New York, NY
|
Award | FINRA | 11/03/2025 |
| 25-00978 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Eric Koter
Respondent Representative(s): Daniel D'Costa
Neutral(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
|
Motion to Vacate | FINRA | 11/03/2025 |
| 25-00978 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Eric Koter
Respondent Representative(s): Eric Alexander Koter
Neutral(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 11/03/2025 |
| 25-00895 | Claimant(s): Katrina Whitlinger
Claimant Representative(s): William Bean
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Stuart K. Furman
Hearing Site: Charlotte, NC
|
Award | FINRA | 10/31/2025 |
| 25-00485 | Claimant(s): Anthony Passmore
Claimant Representative(s): Anthony Passmore
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Krista L. Elsasser
Neutral(s): Patrick R. Sughroue, Patrick A. Guentner, Marcy Hahn
Hearing Site: Detroit, MI
|
Award | FINRA | 10/31/2025 |
| 25-01309 | Claimant(s): Linda Beury
Claimant Representative(s): Linda Beury
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Barbara Black
Hearing Site: Raleigh, NC
|
Award | FINRA | 10/31/2025 |
| 23-02515 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Marcio Moraes Marciano da Rocha
Respondent Representative(s): Kevin D. Galbraith
Neutral(s): Arthur D. Felsenfeld, Edward W. Morris, David Holmes
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 10/31/2025 |
| 23-02515 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Marcio Moraes Marciano da Rocha
Respondent Representative(s): Kevin D. Galbraith
Neutral(s): Arthur D. Felsenfeld, Edward W. Morris, David Holmes
Hearing Site: New York, NY
|
Award | FINRA | 10/31/2025 |
| 23-02515 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Marcio Moraes Marciano da Rocha
Respondent Representative(s): Kevin D. Galbraith
Neutral(s): Arthur D. Felsenfeld, Edward W. Morris, David Holmes
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 10/31/2025 |
| 25-01155 | Claimant(s): Aymun Salman
Claimant Representative(s): Joseph Allgor
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Alyson Terrell
Neutral(s): A. Rene Hollyer
Hearing Site: New York, NY
|
Award | FINRA | 10/30/2025 |