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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02841 | Claimant(s): Esther Gobbelet
Claimant Representative(s): Esther J. Gobbelet
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Marvin L. Schuldiner
Hearing Site: Jersey City, NJ
|
Award | FINRA | 06/09/2026 |
| 25-01143 | Claimant(s): Cathie Posey-Goulding, John Goulding
Claimant Representative(s): Jon-Jorge Aras
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Taylor J. Stewart
Neutral(s): Gordon M. Wase, Mark H. Stein, Scott Steven Morrison
Hearing Site: Philadelphia, PA
|
Award | FINRA | 06/09/2026 |
| 25-00536 | Claimant(s): Michael Van Slyke
Claimant Representative(s): David K. Silverberg
Respondent(s): Bankers Life Securities, Inc.
Respondent Representative(s): Adam D. Cotter
Neutral(s): Michael J. Meeusen, Denise L. Presley, Anastasia Tkatschow
Hearing Site: Syracuse, NY
|
Award | FINRA | 06/09/2026 |
| 25-00923 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Representative(s): Anthony J. Borrelli
Respondent(s): Alfred Montanino
Respondent Representative(s): Rachel Demarest Gold
Neutral(s): Ann Judith Gellis
Hearing Site: New York, NY
|
Award | FINRA | 06/09/2026 |
| 25-01272 | Claimant(s): Jacob Juneau
Claimant Representative(s): Jacob Juneau
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Mark G. Materna
Neutral(s): Ashley Lucile Belleau, William John Sommers, Martha Young Curtis
Hearing Site: New Orleans, LA
|
Award | FINRA | 06/09/2026 |
| 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 |
| 25-01429 | 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 |
| 25-00684 | 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 |
| 25-01862 | 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 |