For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-03136 | Claimant(s): VALIC Financial Advisors, Inc.
Claimant Representative(s): Matthew Penfield
Respondent(s): Hornor, Townsend & Kent, LLC., Mark Block, Vincent Bresina-Hawkins
Respondent Representative(s): Colin Moriarty, Paula D. Schaffner
Neutral(s): Richard J. Lawrence, Donald Salcito, Sophia C. Hassman
Hearing Site: Denver, CO
|
Award | FINRA | 11/17/2025 |
| 22-00440 | Claimant(s): Lynn Schneider Foundation, Inc., IS 2010 Trust FBO Jeremiah Joseph U/A 12/23/10, IS 2010 Trust FBO Maxwell Joseph U/A 12/23/10, Lynn Schneider 2012 Trust FBO Jeremiah Joseph, Lynn Schneider 2012 Trust FBO Maxwell Joseph, Lynn Schneider 2016 GRAT U/A 10/20/16, Lynn Schneider Revocable Trust U/A 12/19/12, Trust FBO Jeremiah Schneider Joseph U/A 4/20/95, Trust FBO Maxwell Schneider Joseph U/A 4/20/95
Claimant Representative(s): Kerry Brainard Verdi
Respondent(s): Morgan Stanley, Errol Furst, Michael Higgins
Respondent Representative(s): William D. Briendel
Neutral(s): Mary Julia O'Connell, Susan Romano, Peter D.C. Mason
Hearing Site: New York, NY
|
Award | FINRA | 11/17/2025 |
| 22-00440 | Claimant(s): Lynn Schneider Foundation, Inc., IS 2010 Trust FBO Jeremiah Joseph U/A 12/23/10, IS 2010 Trust FBO Maxwell Joseph U/A 12/23/10, Lynn Schneider 2012 Trust FBO Jeremiah Joseph, Lynn Schneider 2012 Trust FBO Maxwell Joseph, Lynn Schneider 2016 GRAT U/A 10/20/16, Lynn Schneider Revocable Trust U/A 12/19/12, Trust FBO Jeremiah Schneider Joseph U/A 4/20/95, Trust FBO Maxwell Schneider Joseph U/A 4/20/95
Claimant Representative(s): Kerry Brainard Verdi
Respondent(s): Morgan Stanley, Errol Furst, Michael Higgins
Respondent Representative(s): William D. Briendel
Neutral(s): Mary Julia O'Connell, Susan Romano, Peter D.C. Mason
Hearing Site: New York, NY
|
Award | FINRA | 11/17/2025 |
| 25-00057 | Claimant(s): Ameriprise Financial Services, LLC
Claimant Representative(s): Gerald A. Giurato
Respondent(s): Drew Peacock
Respondent Representative(s): Drew Matthew Peacock
Neutral(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|
Award | FINRA | 11/14/2025 |
| 24-02497 | Claimant(s): Steward Partners Holdings, LLC, Steward Partners Investment Advisory, LLC, Steward Partners Investment Solutions, LLC
Claimant Representative(s): Michael T. Roche
Respondent(s): Andrew Egber
Respondent Representative(s): Andrew Joseph Egber
Neutral(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
|
Award | FINRA | 11/13/2025 |
| 25-01090 | Claimant(s): William Cerf
Claimant Representative(s): David L. Goldberg
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Steven H. Vogel, Mauricio Arcadier, Frederick Ramos
Hearing Site: New York, NY
|
Award | FINRA | 11/13/2025 |
| 24-02124 | Claimant(s): Timothy Dixon
Claimant Representative(s): Alex Padla
Respondent(s): Morgan Stanley & Co., LLC
Respondent Representative(s): Ryan Parchment
Neutral(s): Richard H. Potter, Thomas J. Dolina, Patricia H. Latham
Hearing Site: San Francisco, CA
|
Award | FINRA | 11/13/2025 |
| 24-01745 | Claimant(s): Mfon Ogbebor
Claimant Representative(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart D. Roberts
Neutral(s): Gene M. Bauer
Hearing Site: Providence, RI
|
Award | FINRA | 11/13/2025 |
| 23-03475 | Claimant(s): Garner Mabry, Todd Schwartz
Claimant Representative(s): Seth I. Rubinson
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): Joseph M. Costello, Ronald G. Guida, Richard J. Lawrence
Hearing Site: Denver, CO
|
Award | FINRA | 11/12/2025 |
| 25-01618 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Akili Johnson
Respondent Representative(s): Akili M Johnson
Neutral(s): Andrea U. Calve
Hearing Site: Dallas, TX
|
Award | FINRA | 11/12/2025 |
| 24-02446 | Claimant(s): Ralph Adamo
Claimant Representative(s): Alex Padla
Respondent(s): Lincoln Financial Distributors, Inc.
Respondent Representative(s): Michael W. Arnold
Neutral(s): Michael S. Matek, Dora M. Lassinger, Michael Fischetti
Hearing Site: Philadelphia, PA
|
Award | FINRA | 11/12/2025 |
| 25-01049 | Claimant(s): Melissa Smitley, Pamela Rose
Claimant Representative(s): Melissa A. Smitley
Respondent(s): Eric Luckey
Respondent Representative(s): Eric Michael Luckey
Neutral(s): Douglas M. Branson
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 11/11/2025 |
| 24-00329 | Claimant(s): Christopher Silvaggi
Claimant Representative(s): Otto K. Hilbert
Respondent(s): Philip Gazzo
Respondent Representative(s): Philip Leo Gazzo
Neutral(s): Rafael A. Porrata-Doria, Harley David Diamond, Steven Mark Felsenstein
Hearing Site: Philadelphia, PA
|
Award | FINRA | 11/11/2025 |
| 25-00025 | Claimant(s): Joseph Barreca
Claimant Representative(s): Chelsea Bauer
Respondent(s): First Horizon Advisors, Inc.
Respondent Representative(s): John W. Joyce
Neutral(s): Guillermo L. Bosch, Michael Evan Beckman, Howard Alan Grinsberg
Hearing Site: New Orleans, LA
|
Award | FINRA | 11/07/2025 |
| 25-00922 | Claimant(s): Aaron Stark
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services
Respondent Representative(s): Clarke C. Greene
Neutral(s): Richard J. Grahn, George G. Kurschner, Howard N. Gorney
Hearing Site: Wichita, KS
|
Award | FINRA | 11/06/2025 |