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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-02088 | Claimant(s): Maher Dabbouseh
Claimant Representative(s): Maher Dabbouseh
Respondent(s): Edward Jones
Respondent Representative(s): Steven M. Malina
Neutral(s): Larry Evert Carlson, Raymond P. Buschmann, Thomas Wiegand
Hearing Site: Chicago, IL
|
Award | FINRA | 12/30/2025 |
| 25-01804 | Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Laurie A. Perez
Respondent(s): Richard Panico
Respondent Representative(s): Richard Joseph Panico
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Award | FINRA | 12/30/2025 |
| 25-01804 | Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Laurie A. Perez
Respondent(s): Richard Panico
Respondent Representative(s): Richard Joseph Panico
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Motion to Vacate | FINRA | 12/30/2025 |
| 24-02696 | Claimant(s): Paul Gioupis
Claimant Representative(s): Michael Gilmore
Respondent(s): James Webb, Cape Securities Inc.
Respondent Representative(s): Scott Holcomb
Neutral(s): Elizabeth Gilbert, Veera V. Konka, Ronald Jay Horowitz
Hearing Site: New York, NY
|
Award | FINRA | 12/30/2025 |
| 24-02696 | Claimant(s): Paul Gioupis
Claimant Representative(s): Michael Gilmore
Respondent(s): James Webb, Cape Securities Inc.
Respondent Representative(s): Scott Holcomb
Neutral(s): Elizabeth Gilbert, Veera V. Konka, Ronald Jay Horowitz
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 12/30/2025 |
| 25-02089 | Claimant(s): Sonia Attkiss
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Martin L. Feinberg, Joseph J. Dougherty, Peter D. Steinbroner
Hearing Site: New York, NY
|
Award | FINRA | 12/29/2025 |
| 24-01208 | Claimant(s): Joshua Biering
Claimant Representative(s): Joshua J. Iacuone
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Eric Ross Cromartie, Alison Battiste Clement, Christine Rister
Hearing Site: Dallas, TX
|
Award | FINRA | 12/29/2025 |
| 24-01208 | Claimant(s): Joshua Biering
Claimant Representative(s): Joshua J. Iacuone
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Eric Ross Cromartie, Alison Battiste Clement, Christine Rister
Hearing Site: Dallas, TX
|
Motion to Vacate | FINRA | 12/29/2025 |
| 24-01208 | Claimant(s): Joshua Biering
Claimant Representative(s): Joshua J. Iacuone
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Eric Ross Cromartie, Alison Battiste Clement, Christine Rister
Hearing Site: Dallas, TX
|
Motion to Vacate | FINRA | 12/29/2025 |
| 23-02186 | Claimant(s): Carminda Bouvier, Carminda Bouvier on behalf of her IRAs
Claimant Representative(s): Brandon S. Reif
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Eugene L. Small
Neutral(s): Jonathan H. Krotinger, Ralph L. Jacobson, Herbert Siegfried Emmrich
Hearing Site: San Francisco, CA
|
Award | FINRA | 12/26/2025 |
| 25-00712 | Claimant(s): Kestra Financial, Inc., Kestra Investment Services, LLC
Claimant Representative(s): Lydia R. Zaidman
Respondent(s): James Eddins II
Respondent Representative(s): James Francis Eddins
Neutral(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|
Award | FINRA | 12/24/2025 |
| 25-00626 | Claimant(s): Timothy Roberson
Claimant Representative(s): Alex Padla
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Nicholas John Taldone, Steven R. Rolnick, Mary C. Davis
Hearing Site: Nashville, TN
|
Award | FINRA | 12/24/2025 |
| 25-01561 | Claimant(s): Raymond James & Associates, Inc.
Claimant Representative(s): Todd Ratner
Respondent(s): Kevin Laurie
Respondent Representative(s): Kevin D. Laurie
Neutral(s): Carol Maria Luttati
Hearing Site: New York, NY
|
Award | FINRA | 12/24/2025 |
| 25-01128 | Claimant(s): Bruce Zipper
Claimant Representative(s): Bruce Zipper
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Sara Soto
Neutral(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/23/2025 |
| 19-02094 | Claimant(s): Randall Baskin
Claimant Representative(s): Eugene N. Bulso
Respondent(s): James Nichols, UBS Financial Services Inc.
Respondent Representative(s): George D. Sullivan
Neutral(s): Michael J. Ahlstrom, Mauricio Arcadier, Karin Marie Paparelli
Hearing Site: Nashville, TN
|
Award | FINRA | 12/23/2025 |