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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00718 | Claimant(s): Maximilian Horster
Claimant Representative(s): Maximilian Horster
Respondent(s): Morgan Stanley
Respondent Representative(s): Abigail Elrod
Neutral(s): Cheryl H. Agris
Hearing Site: New York, NY
|
Award | FINRA | 09/09/2025 |
| 25-00718 | Claimant(s): Maximilian Horster
Claimant Representative(s): Maximilian Horster
Respondent(s): Morgan Stanley
Respondent Representative(s): Abigail Elrod
Hearing Site: New York, NY
|
Award | FINRA | 09/09/2025 |
| 25-00288 | Claimant(s): Najwa Alharthi
Claimant Representative(s): Khalid Alharthi
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): Allan N. Taffet, Cynthia A. DiMarco, Virginia Mary Hunt
Hearing Site: New York, NY
|
Award | FINRA | 09/08/2025 |
| 24-01676 | Claimant(s): Patrick Williford
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Capizzi
Neutral(s): Karl A. Vogeler
Hearing Site: Raleigh, NC
|
Award | FINRA | 09/08/2025 |
| 24-02519 | Claimant(s): Trawnegan Gall
Claimant Representative(s): Michael Bessette
Respondent(s): Cabot Lodge Securities LLC
Respondent Representative(s): James Behr
Neutral(s): Leon Fox, Thomas R. Watkins, Gary B. Deutsch
Hearing Site: Los Angeles, CA
|
Award | FINRA | 09/05/2025 |
| 24-02335 | Claimant(s): Peter Walls
Claimant Representative(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff Beckham
Neutral(s): John R. Wylie, Fred W. Miller, Ira A. Auerbach
Hearing Site: Richmond, VA
|
Award | FINRA | 09/05/2025 |
| 25-00910 | Claimant(s): Giuseppe Mauceli
Claimant Representative(s): David I. Hantman
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Paul Yarns
Neutral(s): Stuart D. Summers, Karen Roberts Washington, Brett Coonrod
Hearing Site: New York, NY
|
Award | FINRA | 09/04/2025 |
| 24-02162 | Claimant(s): Tyler Pratt
Claimant Representative(s): Austin Davis
Respondent(s): RBC Capital Markets LLC
Respondent Representative(s): Michael E. Rowe
Neutral(s): Steven H. Vogel, Stephany Adriene Watson, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
|
Award | FINRA | 09/04/2025 |
| 25-00950 | Claimant(s): Stifel, Nicolaus & Co., Inc., Stifel Financial Corp.
Claimant Representative(s): Alan S. Brodherson
Respondent(s): James Kim
Respondent Representative(s): James Kim
Neutral(s): John Warner Lowe
Hearing Site: New York, NY
|
Award | FINRA | 09/03/2025 |
| 23-00324 | Claimant(s): PlanMember Securities Corporation
Claimant Representative(s): Matthew D. Gauthier
Respondent(s): James Lohnes, Nuno Pereira
Respondent Representative(s): John D. Stewart, Robert C. Harris
Neutral(s): Kip C Lubcke, Morton S. Bunis, Roland E. Wyatt
Hearing Site: Jersey City, NJ
|
Award | FINRA | 09/03/2025 |
| 23-00940 | Claimant(s): Sumaya Musa
Claimant Representative(s): Roberto C Quiñones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 09/03/2025 |
| 25-00198 | Claimant(s): Rob Randels
Claimant Representative(s): William Bean
Respondent(s): Northwestern Mutual Investment Services
Respondent Representative(s): Clarke C. Greene
Neutral(s): Donna Ross Philip, Edward W. Morris, Thomas P. Valenti
Hearing Site: Omaha, NE
|
Award | FINRA | 09/02/2025 |
| 25-00510 | Claimant(s): Peter Botros
Claimant Representative(s): Peter H. Botros
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): William M. Turner
Neutral(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
|
Award | FINRA | 09/02/2025 |
| 24-02579 | Claimant(s): Brian Visconti
Claimant Representative(s): Ahmed A. Metwally
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Jordan D. Maglich
Neutral(s): Ian S. Greig, Daniel Robbins, Fern M. Laethem
Hearing Site: Tampa, FL
|
Award | FINRA | 09/02/2025 |
| 25-00100 | Claimant(s): Ghislain Gouraige, Jared Kaplan, Michaelangelo Dooley
Claimant Representative(s): Joel Wertman
Respondent(s): NewEdge Securities LLC
Respondent Representative(s): Mandy Zett
Neutral(s): Barbara M. Zak, Dean J. Dietrich, Sherrill Wm Colvin
Hearing Site: Boca Raton, FL
|
Award | FINRA | 09/02/2025 |