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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00229 | Claimant(s): Russell Andersen
Claimant Representative(s): H. Nicholas Berberian
Respondent(s): Northern Trust Securities, Inc.
Respondent Representative(s): H. Nicholas Berberian
Neutral(s): Charles Marcus Harris, Nicholas John Taldone, Ira A. Auerbach
Hearing Site: Boca Raton, FL
|
Award | FINRA | 10/10/2025 |
| 24-02413 | Claimant(s): Donald Lueke
Claimant Representative(s): William Bean
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Representative(s): Shelley Davenport
Hearing Site: Kansas City, MO
|
Award | FINRA | 10/10/2025 |
| 24-02127 | Claimant(s): Garrick Ruiz
Claimant Representative(s): Chelsea Bauer
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Robert J. Gregory, Richard Carl Smukler, John J. Mager
Hearing Site: Houston, TX
|
Award | FINRA | 10/10/2025 |
| 24-00874 | Claimant(s): Tessa Heron
Claimant Representative(s): Tessa Heron
Respondent(s): First Allied Securities, Inc.
Respondent Representative(s): Michael Schwartzberg
Neutral(s): Michael E. Easterday, Terry Johnson, Rosaline Lennette Doggett
Hearing Site: Las Vegas, NV
|
Award | FINRA | 10/09/2025 |
| 24-02201 | Claimant(s): Albert Vale, Kathleen Vale
Claimant Representative(s): Stephen Huschka
Respondent(s): Eric Dupré, Ameriprise Financial Services, LLC
Respondent Representative(s): Eric Anthony Dupré, Lawton R. Graves
Neutral(s): Stephen Andrew McCarthy, Nick Thomas, Mina Madani
Hearing Site: Houston, TX
|
Award | FINRA | 10/09/2025 |
| 24-02433 | Claimant(s): Edward Stike
Claimant Representative(s): William Bean
Respondent(s): RBC Capital Markets LLC
Respondent Representative(s): Michael Rowe
Neutral(s): Monica I. Salis, Philip Aaron Tymon, Michael S. Jordan
Hearing Site: Charleston, WV
|
Award | FINRA | 10/09/2025 |
| 24-00861 | Claimant(s): Hesam Shahnazi
Claimant Representative(s): Hesam Shahnazi
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Caroline Payne
Neutral(s): Elijah Paul Rukidi-Mpuuga
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/09/2025 |
| 25-00002 | Claimant(s): Edwin Encarnación Álamo
Claimant Representative(s): Edwin Encarnación Álamo
Respondent(s): Popular Securities, LLC.
Respondent Representative(s): Alejandro J. Cepeda-Diaz
Neutral(s): Mary Ann Etzler, Tyrone Nathaniel Watson, Catherine Harper
Hearing Site: Orlando, FL
|
Award | FINRA | 10/09/2025 |
| 25-00002 | Claimant(s): Edwin Encarnación Álamo
Claimant Representative(s): Edwin Encarnación Álamo
Respondent(s): Popular Securities, LLC.
Respondent Representative(s): Alejandro J. Cepeda-Diaz
Neutral(s): Mary Ann Etzler, Tyrone Nathaniel Watson, Catherine Harper
Hearing Site: Orlando, FL
|
Motion to Vacate | FINRA | 10/09/2025 |
| 25-00305 | Claimant(s): Debora Holland-Petrov
Claimant Representative(s): Debora Holland-Petrov
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Heidi E. VonderHeide
Neutral(s): Ann C. Northern, Joan M. Traub, John McDonald Delehanty
Hearing Site: New York, NY
|
Award | FINRA | 10/08/2025 |
| 24-02241 | Claimant(s): Mark Pellecchia
Claimant Representative(s): Mark J. Pellecchia
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): W. Preston Martin
Neutral(s): Beverly Ann Williams, Kevin Kanesaka, James Robertson Van Arsdale
Hearing Site: Jersey City, NJ
|
Award | FINRA | 10/08/2025 |
| 25-00304 | Claimant(s): Janice Cartwright, John Cartwright
Claimant Representative(s): Johnny L Antwiler
Respondent(s): Betsy Merritt
Respondent Representative(s): Steve Buchwalter
Neutral(s): Joseph Alfred Davis, Roberta Haft, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/08/2025 |
| 25-01329 | Claimant(s): Equitable Advisors, LLC, Equitable Network, LLC
Claimant Representative(s): Amanda Sotak
Respondent(s): Gino Wang
Respondent Representative(s): Gino Wang
Neutral(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/08/2025 |
| 24-00632 | Claimant(s): Equitable Advisors, LLC, Equitable Network, LLC
Claimant Representative(s): Amanda Sotak
Respondent(s): John Laudonio
Respondent Representative(s): John Anthony Laudonio
Neutral(s): Dora M. Lassinger, Martin Deignan Dehler, Olivia Gushin
Hearing Site: New York, NY
|
Award | FINRA | 10/08/2025 |
| 21-02911 | Claimant(s): Mary Cecelia Collins, as Successor Trustee of the David C. Collins 1997 Trust U/A dated 01/20/1997, Mary Cecelia Collins, as Surviving Trustee of the David C. and Mary C. Collins Family Trust dated 01-20-97, Mary Cecelia Collins, as Trustee of the Mary C. Collins 1997 Trust U/A dated 01/20/1997
Claimant Representative(s): James E. Heavey
Respondent(s): LPL Financial LLC, James Frawley, Westside Investment Management, Inc.
Respondent Representative(s): George D. Sullivan, Kevin K. Fitzgerald
Neutral(s): Patricia H. Latham, Leslie E. Rossen, Harry John D'Andrea
Hearing Site: Washington, DC
|
Award | FINRA | 10/07/2025 |