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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 26-00058 | Claimant(s): Michael Beers
Claimant Representative(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Kathy A. Tatone, Ira A. Auerbach, Gerald H. Grayson
Hearing Site: Columbus, OH
|
Award | FINRA | 04/06/2026 |
| 25-01257 | Claimant(s): Mozelle Armijo
Claimant Representative(s): Joshua B. Swigart
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
|
Award | FINRA | 04/06/2026 |
| 25-02490 | Claimant(s): OSAIC Wealth, Inc
Claimant Representative(s): Gregory M. Curley
Respondent(s): Ryan Peters
Respondent Representative(s): Ryan William Peters
Neutral(s): David S. Billet
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/02/2026 |
| 23-00994 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Representative(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Seth L. Finkel
Hearing Site: San Juan, PR
|
Award | FINRA | 04/02/2026 |
| 24-02451 | Claimant(s): Michael Bradley
Claimant Representative(s): Kevin Thomas Hoffman
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Christopher F. Robertson
Neutral(s): Edith M. Novack, Robert Elliot Harrison, Mark Cuccaro
Hearing Site: New York, NY
|
Award | FINRA | 04/02/2026 |
| 23-00139 | Claimant(s): Daniel Olson
Claimant Representative(s): Daniel Olson
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Randi Perry Spallina
Neutral(s): Jonathan H. Krotinger, John Burritt McArthur, Bruce J Highman
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/02/2026 |
| 24-00836 | Claimant(s): Juan De Abreu, Juan Christopher & Sherly De Abreu
Claimant Representative(s): Juan Christopher De Abreu
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade, Inc.
Respondent Representative(s): Christopher J. Cammiso
Neutral(s): Ronald Stephen Robins, Christina Magee, Carmen A. Cintron
Hearing Site: Orlando, FL
|
Award | FINRA | 04/02/2026 |
| 25-02460 | Claimant(s): Christopher Halstedt
Claimant Representative(s): Rogge Dunn
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Lise Gabrielle Hunter, Cindy L. Anderson, Donna Ross Philip
Hearing Site: Dallas, TX
|
Award | FINRA | 04/01/2026 |
| 25-01336 | Claimant(s): Orion Willis
Claimant Representative(s): Jeremy L. Bartell
Respondent(s): Centaurus Financial, Inc.
Respondent Representative(s): Michael J. Carey
Neutral(s): Stephany Adriene Watson, Patricia Ann Tracey, Peter A.P. Dunlop
Hearing Site: Phoenix, AZ
|
Award | FINRA | 03/30/2026 |
| 25-02261 | Claimant(s): Ricardo Eboli-Kodesh
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Vélez
Neutral(s): Roger C. Benson, Sherry R. Wetsch, Mark T Risner
Hearing Site: San Juan, PR
|
Award | FINRA | 03/27/2026 |
| 24-02632 | Claimant(s): Justin Rees
Claimant Representative(s): Chelsea Bauer
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Representative(s): Todd A. Holleman
Neutral(s): F. Guthrie Castle, Adam Michael Porter, Peter M. Cosel
Hearing Site: Tampa, FL
|
Award | FINRA | 03/27/2026 |
| 25-01580 | Claimant(s): Venu Reddy
Claimant Representative(s): Venu Reddy
Respondent(s): LPL Financial LLC, Waddell & Reed
Respondent Representative(s): Blake Edwards
Neutral(s): Leah Murray Albert, Jon R Gray, Rosetta Bernice Robins
Hearing Site: Kansas City, MO
|
Award | FINRA | 03/27/2026 |
| 25-01803 | Claimant(s): Rebecca Haubry
Claimant Representative(s): Rebecca M Haubry
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Benjamin A. Schloss
Neutral(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
|
Award | FINRA | 03/27/2026 |
| 25-02347 | Claimant(s): Alex Stalkfleet
Claimant Representative(s): Alex Stalkfleet
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Lawton R. Graves
Neutral(s): Jeffrey L. Malek
Hearing Site: Phoenix, AZ
|
Award | FINRA | 03/27/2026 |
| 25-02453 | Claimant(s): Kelechi Ukazim
Claimant Representative(s): Kelechi C. Ukazim
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Heather Gaile Layton
Hearing Site: Houston, TX
|
Award | FINRA | 03/27/2026 |