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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00978 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Eric Koter
Respondent Representative(s): Eric Alexander Koter
Neutral(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 11/03/2025 |
| 25-00978 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Eric Koter
Respondent Representative(s): Daniel D'Costa
Neutral(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
|
Motion to Vacate | FINRA | 11/03/2025 |
| 25-00895 | Claimant(s): Katrina Whitlinger
Claimant Representative(s): William Bean
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Stuart K. Furman
Hearing Site: Charlotte, NC
|
Award | FINRA | 10/31/2025 |
| 25-00485 | Claimant(s): Anthony Passmore
Claimant Representative(s): Anthony Passmore
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Krista L. Elsasser
Neutral(s): Patrick R. Sughroue, Patrick A. Guentner, Marcy Hahn
Hearing Site: Detroit, MI
|
Award | FINRA | 10/31/2025 |
| 25-01309 | Claimant(s): Linda Beury
Claimant Representative(s): Linda Beury
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Barbara Black
Hearing Site: Raleigh, NC
|
Award | FINRA | 10/31/2025 |
| 23-02515 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Marcio Moraes Marciano da Rocha
Respondent Representative(s): Kevin D. Galbraith
Neutral(s): Arthur D. Felsenfeld, Edward W. Morris, David Holmes
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 10/31/2025 |
| 23-02515 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Marcio Moraes Marciano da Rocha
Respondent Representative(s): Kevin D. Galbraith
Neutral(s): Arthur D. Felsenfeld, Edward W. Morris, David Holmes
Hearing Site: New York, NY
|
Award | FINRA | 10/31/2025 |
| 23-02515 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Marcio Moraes Marciano da Rocha
Respondent Representative(s): Kevin D. Galbraith
Neutral(s): Arthur D. Felsenfeld, Edward W. Morris, David Holmes
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 10/31/2025 |
| 25-01155 | Claimant(s): Aymun Salman
Claimant Representative(s): Joseph Allgor
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Alyson Terrell
Neutral(s): A. Rene Hollyer
Hearing Site: New York, NY
|
Award | FINRA | 10/30/2025 |
| 24-00197 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): William Montgomery
Respondent(s): Taiwo Wiley
Respondent Representative(s): Taiwo Wiley
Neutral(s): Andrew W. Levin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/30/2025 |
| 24-02172 | Claimant(s): Cobra Trading, Inc.
Claimant Representative(s): Chifeng Jiang
Respondent(s): Yulia Coleman
Respondent Representative(s): Yulia Coleman
Neutral(s): Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/28/2025 |
| 25-01032 | Claimant(s): Ellyn Humphreys
Claimant Representative(s): Ellyn K. Humphreys
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Efrat Cohen
Neutral(s): Mark T Risner
Hearing Site: Los Angeles, CA
|
Award | FINRA | 10/28/2025 |
| 25-00367 | Claimant(s): Gary Braver
Claimant Representative(s): Gary Braver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Shawn J. Gebhardt
Neutral(s): Howard N. Gorney
Hearing Site: Boston, MA
|
Award | FINRA | 10/28/2025 |
| 24-01280 | Claimant(s): Adam Serr, Shayla Kelley
Claimant Representative(s): Brandon M. Taaffe
Respondent(s): Frontier Credit Union
Respondent Representative(s): Gary L. Cooper
Neutral(s): Katherine Hendricks, Dean J. Dietrich, Michael R.E. Sanders
Hearing Site: Boise, ID
|
Award | FINRA | 10/28/2025 |
| 24-01280 | Claimant(s): Adam Serr, Shayla Kelley
Claimant Representative(s): Brandon M. Taaffe
Respondent(s): Frontier Credit Union
Respondent Representative(s): Gary L. Cooper
Neutral(s): Katherine Hendricks, Dean J. Dietrich, Michael R.E. Sanders
Hearing Site: Boise, ID
|
Motion to Vacate | FINRA | 10/28/2025 |