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 |
|---|---|---|---|---|
| 24-01628 | Claimant(s): Equitable Advisors, LLC, Equitable Network, LLC
Claimant Representative(s): Amanda Sotak
Respondent(s): Richard Logalbo
Respondent Representative(s): Seth I. Rubinson
Neutral(s): Carol Maria Luttati, Barbara Res, Michael Davies
Hearing Site: Jersey City, NJ
|
Award | FINRA | 08/21/2025 |
| 23-02726 | Claimant(s): US Capital Advisors, LLC, US Capital Wealth Advisors, LLC, USCA Management LLC, USCA RIA Investors, LLC, USCA Securities LLC
Claimant Representative(s): Gary Cruciani
Respondent(s): David Harris
Respondent Representative(s): Robin L. Harrison
Neutral(s): Mark C Watler, Brian James Tagtmeier, Gary Jason Fischman
Hearing Site: Houston, TX
|
Award | FINRA | 08/21/2025 |
| 24-01601 | Claimant(s): Nicolas Shaffer
Claimant Representative(s): Michael Bessette
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Leah Murray Albert, Patrick R. Sughroue, James Aaron Morrow
Hearing Site: Indianapolis, IN
|
Award | FINRA | 08/21/2025 |
| 24-01558 | Claimant(s): Boniface Lubin, Ernie Samuel
Claimant Representative(s): Ernie Samuel
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Joseph L. Calabrese
Neutral(s): Jack Stein, Barry David Thorpe, Richard C Petryk
Hearing Site: Boca Raton, FL
|
Award | FINRA | 08/21/2025 |
| 24-01091 | Claimant(s): Bryan Schon, Michael Dymkowski
Claimant Representative(s): John B. Pinney
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney LLC
Respondent Representative(s): Tracy L. Gerber
Neutral(s): Tracy L. Allen, O'Neal Oliver Wright, Phillip Rodger Patterson
Hearing Site: Detroit, MI
|
Award | FINRA | 08/21/2025 |
| 25-00534 | Claimant(s): Eliah Ewing
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Douglas M. Branson, Robert G. Falbisaner, Peter M. Cosel
Hearing Site: Tampa, FL
|
Award | FINRA | 08/21/2025 |
| 24-02411 | Claimant(s): Brian Megley
Claimant Representative(s): Alexander Truitt
Respondent(s): Cetera Advisors LLC
Respondent Representative(s): David Feldstein
Neutral(s): Martin A. Feigenbaum, Nancy J. Cliff, Vincent C. Pangia
Hearing Site: Providence, RI
|
Award | FINRA | 08/20/2025 |
| 25-00505 | Claimant(s): Brian Everett
Claimant Representative(s): Mickey B. Wright
Respondent(s): Cetera Advisors LLC
Respondent Representative(s): David Feldstein
Neutral(s): Morris S. Getzels, James W. Kerr, Val D. Hornstein
Hearing Site: Dallas, TX
|
Award | FINRA | 08/20/2025 |
| 25-00957 | Claimant(s): Alexander Parisis
Claimant Representative(s): David I. Hantman
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Thomas E. Stagg
Neutral(s): Peter A.P. Dunlop, Robert Dean McKinley, Maya Steinitz
Hearing Site: Jersey City, NJ
|
Award | FINRA | 08/18/2025 |
| 24-02022 | Claimant(s): Ghaus Malik, G. and P. Malik, LLC
Claimant Representative(s): Dan Rowan Cortright
Respondent(s): Iliasser Arias, Wells Fargo Clearing Services, LLC
Respondent Representative(s): Esther E. Cho
Neutral(s): Ralph L. Jacobson, Kevin C. Coleman, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
|
Award | FINRA | 08/18/2025 |
| 23-00266 | Claimant(s): Kevin Carnahan, Laurie Carnahan, Carnahan Revocable Trust
Claimant Representative(s): Jerry Santangelo
Respondent(s): Nathan Paulson, Paulson Wealth Management, Inc.
Respondent Representative(s): James L. Kopecky
Neutral(s): Raymond P. Buschmann, Jacqueline Stanley Lustig, Douglas Howard Edelman
Hearing Site: Chicago, IL
|
Award | FINRA | 08/18/2025 |
| 24-01642 | Claimant(s): Robert Hoefel
Claimant Representative(s): Janelle E. Chase Fazio
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Justin E. Condit
Neutral(s): John M. Casey, Thomas R. Dreiling, Michael John Seng
Hearing Site: Seattle, WA
|
Award | FINRA | 08/18/2025 |
| 25-00518 | Claimant(s): Gus Mask
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research, Inc.
Respondent Representative(s): Emily Azzarito
Neutral(s): Gregory G. Gocek, Lawrence R. Maxwell, Paul J. Burkhart
Hearing Site: Dallas, TX
|
Award | FINRA | 08/18/2025 |
| 24-01293 | Claimant(s): Katline Alexandre
Claimant Representative(s): Ezra Salami
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Heather Cooper
Neutral(s): Lorrie E Whitfield, Roy Lukins Rowsell, Robyn Weisman
Hearing Site: New York, NY
|
Award | FINRA | 08/18/2025 |
| 25-00803 | Claimant(s): ScanAsia Consulting Ltd
Claimant Representative(s): Staffan G Lofgren
Respondent(s): Morgan Stanley
Respondent Representative(s): Olaniyi Solebo
Neutral(s): Shawn Ridgell
Hearing Site: San Francisco, CA
|
Award | FINRA | 08/15/2025 |