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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-03056 | Claimant(s): Lakh Enterprises, LLC
Claimant Representative(s): Matthew Thibaut
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Representative(s): James Baehr
Neutral(s): Timothy J. Kroll, Donald Dreyfus, Jerome Allan Landau
Hearing Site: Phoenix, AZ
|
Award | FINRA | 05/29/2025 |
| 24-01715 | Claimant(s): Robert Averwater
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Fifth Third Securities, Inc.
Respondent Representative(s): Andrew M. Sherwood
Neutral(s): Thomas H. Barnard
Hearing Site: Cincinnati, OH
|
Award | FINRA | 05/29/2025 |
| 24-01416 | Claimant(s): Marcie Cole, Michael Cole
Claimant Representative(s): Marcie Cole, Michael Cole
Respondent(s): David Reyes, Julie Reyes, Emerson Equity LLC
Respondent Representative(s): Amir Tadjedin, Chad Weaver
Neutral(s): Michael John Florio, Charles Chia-Lin Hsieh, Cynthia Helene Cwik
Hearing Site: San Diego, CA
|
Award | FINRA | 05/28/2025 |
| 24-02160 | Claimant(s): Gunnar Gavin
Claimant Representative(s): Austin Davis
Respondent(s): Bankers Life Securities, Inc.
Respondent Representative(s): David R. Centner
Neutral(s): Edith M. Novack, Kenneth R. Starr, Michael John Florio
Hearing Site: Detroit, MI
|
Award | FINRA | 05/28/2025 |
| 23-02864 | Claimant(s): John Lowry
Claimant Representative(s): Thomas P. McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Amalia Chin
Neutral(s): John Warner Lowe
Hearing Site: New York, NY
|
Award | FINRA | 05/27/2025 |
| 25-00001 | Claimant(s): Kimberley Hester
Claimant Representative(s): Kimberley Kay Hester
Respondent(s): Cory Schmelzer
Respondent Representative(s): Meghan Daley
Neutral(s): Peter M Cosel
Hearing Site: Manchester, NH
|
Award | FINRA | 05/27/2025 |
| 22-02273 | Claimant(s): Glenn Gardner, Judy Fitzgerald, Richard Fitzgerald
Claimant Representative(s): Kevin P. Krupnick
Respondent(s): National Securities Corporation, B. Riley Wealth Management
Respondent Representative(s): Fred N. Knopf
Neutral(s): Michael E. Easterday, Andrew Robert Thibeault, Jonathan Sprouffske
Hearing Site: Seattle, WA
|
Award | FINRA | 05/27/2025 |
| 24-00447 | Claimant(s): Catherine Basile Trust UAD 11/13/2008
Claimant Representative(s): John A. Hubbard
Respondent(s): Mark Beck, Comerica Securities
Respondent Representative(s): Toby Galloway
Neutral(s): Robert J. Scafuri, Patrick R. Sughroue, Barbara A. Johannessen
Hearing Site: Detroit, MI
|
Award | FINRA | 05/27/2025 |
| 24-02392 | Claimant(s): Christopher Murray
Claimant Representative(s): Peter Lindholm
Respondent(s): Principal Securities, Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): Allan N. Taffet, Leo G. Stern, Ronald Chun
Hearing Site: San Francisco, CA
|
Award | FINRA | 05/27/2025 |
| 24-02414 | Claimant(s): Noel Dulac
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Charles G. Michaels, Veronica Ann Williams, Peter Shapiro
Hearing Site: Boston, MA
|
Award | FINRA | 05/27/2025 |
| 25-00001 | Claimant(s): Kimberley Hester
Claimant Representative(s): Kimberley Kay Hester
Respondent(s): Cory Schmelzer
Respondent Representative(s): Meghan Daley
Hearing Site: Manchester, NH
|
Award | FINRA | 05/27/2025 |
| 25-00293 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Hal Butler
Respondent Representative(s): Hal Bradley Butler
Neutral(s): James C. Hoover
Hearing Site: Atlanta, GA
|
Motion to Vacate | FINRA | 05/23/2025 |
| 24-00920 | Claimant(s): US Capital Global Securities, LLC
Claimant Representative(s): George Hudson
Respondent(s): SOM Innovation Biotech, S.A.
Respondent Representative(s): Justin M. Ellis
Neutral(s): Richard W. Cutler, Ariel Aminov, John E. Rollins
Hearing Site: New York, NY
|
Award | FINRA | 05/23/2025 |
| 23-03630 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Lucas Garcia
Respondent(s): William Song
Respondent Representative(s): William Hohill Song
Neutral(s): Michael John Florio
Hearing Site: Los Angeles, CA
|
Award | FINRA | 05/23/2025 |
| 24-02286 | Claimant(s): Jordan Weiner, Terri Tepper
Claimant Representative(s): Jordan T. Weiner
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): John T. McGuire
Neutral(s): Peter Ordower
Hearing Site: Chicago, IL
|
Award | FINRA | 05/23/2025 |