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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 26-00269 | Claimant(s): Yewin Thant
Claimant Representative(s): Yewin Thant
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Michael J. Charlillo
Neutral(s): Virginia Alice Suveiu
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/23/2026 |
| 26-00444 | Claimant(s): Ethan Turnbull
Claimant Representative(s): Ethan V. Turnbull
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Arthur Neil Tolciss
Hearing Site: New York, NY
|
Award | FINRA | 07/22/2026 |
| 25-01073 | Claimant(s): Roy Philipose
Claimant Representative(s): Roy M Philipose
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Kenneth J. Turnbull
Neutral(s): Alan J. Blocher, William Wilson Lowe, Lorrie E. Whitfield
Hearing Site: Philadelphia, PA
|
Award | FINRA | 07/22/2026 |
| 25-01749 | Claimant(s): NouaChi Vang
Claimant Representative(s): Michael Bessette
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Samantha Kats
Neutral(s): Herbert Liberman, Ashley Lucile Belleau, David I. Levine
Hearing Site: Charlotte, NC
|
Award | FINRA | 07/21/2026 |
| 25-00114 | Claimant(s): Dale Raimann
Claimant Representative(s): Bruce W. Barnes
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Michael R. Greco
Neutral(s): Nicholas John Taldone, Heather Criss Keller, Jared J Perez
Hearing Site: Tampa, FL
|
Award | FINRA | 07/20/2026 |
| 24-02186 | Claimant(s): LPL Financial LLC
Claimant Representative(s): Samuel P. Mauch
Respondent(s): Christian Zernich
Respondent Representative(s): Christian C. Zernich
Neutral(s): Robert J. Scafuri, John J. Neely, Valerie G. Fitzgerald
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 07/20/2026 |
| 25-02713 | Claimant(s): Mark Roberts
Claimant Representative(s): Derek C. Anderson
Respondent(s): Creativeone Securities, LLC
Respondent Representative(s): Jeffrey N. Eisenhauer, President
Neutral(s): David G. Skeen, Katherine Hendricks, Douglas Earl McLaren
Hearing Site: Kansas City, MO
|
Award | FINRA | 07/20/2026 |
| 26-00431 | Claimant(s): Derek Ambrosi
Claimant Representative(s): Derek Ambrosi
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Valerie Holder
Neutral(s): Keely D. Parr
Hearing Site: Hartford, CT
|
Award | FINRA | 07/17/2026 |
| 26-00365 | Claimant(s): Diana Wunder
Claimant Representative(s): Diana M. Wunder
Respondent(s): Brent Maurer, Wells Fargo Advisors Financial Network
Respondent Representative(s): Christina J. Herrera
Neutral(s): Diane Ciccone
Hearing Site: Philadelphia, PA
|
Award | FINRA | 07/17/2026 |
| 25-02624 | Claimant(s): Oybek Giyazov
Claimant Representative(s): Michael M. Gless
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff Beckham
Neutral(s): Gregory D. Hoffmann, Susan L. Luck, Evalyn Lipton Fishbein
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/17/2026 |
| 26-00306 | Claimant(s): Albert Eggert
Claimant Representative(s): Albert Eggert
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): Ronald Stephen Robins
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/17/2026 |
| 26-00083 | Claimant(s): Christopher Smith
Claimant Representative(s): Austin Davis
Respondent(s): Lincoln Financial Distributors, Inc.
Respondent Representative(s): Michael Arnold
Neutral(s): Steven M. Feder
Hearing Site: Denver, CO
|
Award | FINRA | 07/17/2026 |
| 25-00951 | Claimant(s): Nicholas Nuzzi
Claimant Representative(s): Andrew R Park
Respondent(s): Jesse Krapf, Joao Pinto, Spartan Capital Securities, LLC
Respondent Representative(s): Andrew L. Bolton, Jesse D Krapf, Joao Amorim Pinto
Neutral(s): Tina E. Patterson, James Andrew Calder, Krista Shreet
Hearing Site: Norfolk, VA
|
Award | FINRA | 07/17/2026 |
| 25-00951 | Claimant(s): Nicholas Nuzzi
Claimant Representative(s): Andrew R Park
Respondent(s): Jesse Krapf, Joao Pinto, Spartan Capital Securities, LLC
Respondent Representative(s): Andrew L. Bolton, Jesse D Krapf, Joao Amorim Pinto
Neutral(s): Tina E. Patterson, James Andrew Calder, Krista Shreet
Hearing Site: Norfolk, VA
|
Motion to Vacate | FINRA | 07/17/2026 |
| 25-02154 | Claimant(s): William Hernandez
Claimant Representative(s): William Lopez Hernandez
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett R. Wynne
Neutral(s): Dineo Coleman Gary, Fern M. Laethem, Stephanie E. Simmons
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/16/2026 |