Arbitration Awards Online

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Award Document Case Summary Document Type Forum Date of Award
24-02423
Claimant(s): Kion Y. Ramos
Claimant Representative(s): Richard A. Ramos
Respondent(s): Edward Jones, Eric Fenn
Respondent Representative(s): Eric A. Michaels
Neutral(s): Samuel Olutola Akeju
Hearing Site: Houston, TX
 Award FINRA 10/17/2025
24-01646
Claimant(s): Ashley Randall
Claimant Representative(s): Alex Padla
Respondent(s): USAA Investment Services Company
Respondent Representative(s): Michael R. Greco
Neutral(s): Michael F. Jordan, Martin M. Berliner, Ilene T. Gormly
Hearing Site: Denver, CO
 Award FINRA 10/17/2025
23-03609
Claimant(s): Tanner Corredores de Bolsa, S.A.
Claimant Representative(s): Andrew Wise
Respondent(s): Pershing LLC
Respondent Representative(s): Edwin A. Zipf
Neutral(s): David Francis MacNair, Ivor Patrick O'Keeffe, Lauren Mintzer
Hearing Site: New York, NY
 Award FINRA 10/17/2025
25-00272
Claimant(s): Jett Jeter
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James S. Bradbury
Neutral(s): Karen Roberts Washington
Hearing Site: Dallas, TX
 Award FINRA 10/17/2025
25-00671
Claimant(s): Bo Wang
Claimant Representative(s): Austin Davis
Respondent(s): World Investments, Inc.
Respondent Representative(s): J. Steven Parker
Neutral(s): Serge Krimnus
Hearing Site: Jersey City, NJ
 Award FINRA 10/17/2025
25-00372
Claimant(s): Sean Carlstrom
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): William Montgomery
Neutral(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
 Award FINRA 10/17/2025
25-01569
Claimant(s): James Hilton
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Carol H. Gold, Richard J. Lawrence, Catherine Stewart
Hearing Site: Providence, RI
 Award FINRA 10/17/2025
24-01069
Claimant(s): Omid Kamali
Claimant Representative(s): Michael A Valenti
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Dean J. Dietrich, David I. Levine, Fred Fuld
Hearing Site: San Francisco, CA
 Award FINRA 10/16/2025
24-02137
Claimant(s): Andrew Book
Claimant Representative(s): Andrew Michael Book
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Shannon L.C. Ammon
Neutral(s): Edward W. Morris, Richard Asher Louisell, Barry Allen Wells
Hearing Site: Philadelphia, PA
 Award FINRA 10/16/2025
23-02820
Claimant(s): John Lowry, Kim Monchik
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Maureen Toale
Neutral(s): Howard D. Jacob
Hearing Site: New York, NY
 Award FINRA 10/14/2025
25-00563
Claimant(s): Alice Krell
Claimant Representative(s): Alice Krell
Respondent(s): LPL Financial LLC
Respondent Representative(s): Eric A. Michaels
Neutral(s): Anita Rae Shapiro, Aurelio A. Garcia, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
 Award FINRA 10/14/2025
25-01305
Claimant(s): Tricia Zelinka
Claimant Representative(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Representative(s): Andrew Joyce
Neutral(s): Vicki J. Limas, Neil Harvey Smith, Thomas M. Madden
Hearing Site: Philadelphia, PA
 Award FINRA 10/14/2025
25-01055
Claimant(s): Mary McDougall
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Stuart S. Mukamal, Tracy L. Allen, Christopher J. Klein
Hearing Site: Minneapolis, MN
 Award FINRA 10/14/2025
23-02836
Claimant(s): John Lowry, Kim Monchik
Claimant Representative(s): Thomas P. McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Amalia Chin
Neutral(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
 Award FINRA 10/13/2025
25-01104
Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Myra C. Mormile-Wolper
Respondent(s): Markell Abonce
Respondent Representative(s): Markell Abonce
Neutral(s): David Aaron DeSoto
Hearing Site: Houston, TX
 Award FINRA 10/13/2025