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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01035 | Claimant(s): Leonardo Costa
Claimant Representative(s): Fabricia Resende
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Morgan K. Johnson
Neutral(s): Anthony Bruno Sanguinetti, Nanci Sondra Landy, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/02/2026 |
| 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 |
| 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 |
| 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 |
| 25-00197 | Claimant(s): Harrison Scollar-Altman, UTMA
Claimant Representative(s): Brook Altman
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Andrew W. Sidman
Neutral(s): Kenneth J. Horowitz, Edward W. Morris, Phillip Michael Brown
Hearing Site: Jersey City, NJ
|
Award | FINRA | 12/30/2025 |
| 24-00406 | Claimant(s): William Martin
Claimant Representative(s): Michele M. Anderson
Respondent(s): Arnold Mcdonald, Rita Mansour, Thomas Mcdonald, Mcdonald Management, LLC, Mcdonald Partners LLC
Respondent Representative(s): Michael J. Charlillo
Neutral(s): Will Murphy, Robert G. Geeseman, Ronald Lawrence Myers
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/30/2025 |
| 25-00725 | Claimant(s): Robert Gargiulo
Claimant Representative(s): Robert Neil Gargiulo
Respondent(s): Jane Donnelly
Respondent Representative(s): Jane Ellen Donnelly
Neutral(s): Denise L. Quarles
Hearing Site: New York, NY
|
Award | FINRA | 12/30/2025 |
| 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 |
| 25-02089 | 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 |
| 25-00626 | 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 |