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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00326 | Claimant(s): Guy Presutti
Claimant Representative(s): Jon Uretsky
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Alexa P. Saberito
Neutral(s): Gregory D. Hoffmann, Barry H. Barnett, Mark C Watler
Hearing Site: Boston, MA
|
Award | FINRA | 08/07/2025 |
| 23-00060 | Claimant(s): James Dean
Claimant Representative(s): Barry R. Lax
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Kirsten M. Grossman
Neutral(s): Mario H. Metzger, Katherine Joan Cameron, Andrew W. Levin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 08/07/2025 |
| 23-01640 | Claimant(s): Anibal Davila Castro
Claimant Representative(s): Osvaldo Carlo Linares
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Seth L. Finkel, Pedro Jose Fornaris, Ricardo Aponte-Parsi
Hearing Site: San Juan, PR
|
Award | FINRA | 08/07/2025 |
| 24-02403 | Claimant(s): Jonathan Ende
Claimant Representative(s): Liam O'Brien
Respondent(s): Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok
Neutral(s): Alida D. Camp, Adam B. Lass, Andrew M. Schmertz
Hearing Site: New York, NY
|
Award | FINRA | 08/05/2025 |
| 24-02611 | Claimant(s): John Carroll
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, UBS Financial Services Inc.
Respondent Representative(s): John Murphy, Lawrence G. Barbot
Neutral(s): John J. Fitzpatrick, Charles A. Palmer, Christopher M. McMurray
Hearing Site: Boston, MA
|
Award | FINRA | 08/05/2025 |
| 23-00975 | Claimant(s): Ananda OM LLC, Ananta-OM Foundation LLC, Ananta-OM Management Inc., Shanti Family Trust Exempt LLC
Claimant Representative(s): David R. Allen
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Jovalin Dedaj
Neutral(s): Cheryl H. Agris, Peter E. Gillespie, Jonathan Blank
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 24-01901 | Claimant(s): Jun Chen
Claimant Representative(s): Austin Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): James J. Fishman
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 23-02862 | Claimant(s): John Lowry
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Maureen Toale
Neutral(s): Ellyn S. Roth
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 25-00306 | Claimant(s): Benjamin Fuchs
Claimant Representative(s): David I. Hantman
Respondent(s): Silver Oak Securities, Incorporated
Respondent Representative(s): Bill Reuther
Neutral(s): Lise Gabrielle Hunter, Paul Bennett Marrow, Robert Dean McKinley
Hearing Site: Hartford, CT
|
Award | FINRA | 08/01/2025 |
| 25-00760 | Claimant(s): John Sofranko
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Richard J. Grahn, Morris S. Getzels, Karl A. Vogeler
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 08/01/2025 |
| 25-00703 | Claimant(s): J.P. Morgan Securities, LLC
Claimant Representative(s): Gene Small
Respondent(s): Seth Horowitz
Respondent Representative(s): Seth Horowitz
Neutral(s): Thomas M. Madden
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 24-02671 | Claimant(s): Maylan Studart-Anders
Claimant Representative(s): David E. Robbins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Sandra J. Mullings, Allan N. Taffet, Christopher J. Klein
Hearing Site: New York, NY
|
Award | FINRA | 07/31/2025 |
| 24-01366 | Claimant(s): Michael Henke
Claimant Representative(s): Lars K. Soreide
Respondent(s): Michael Archimede
Respondent Representative(s): Michael Archimede
Neutral(s): Jerry D. McCormack, Thomas Michael Genovese, Ira Stephen Epstein
Hearing Site: Milwaukee, WI
|
Award | FINRA | 07/31/2025 |
| 24-02526 | Claimant(s): Troy Perkins
Claimant Representative(s): William Bean
Respondent(s): Wells Fargo Clearing Services, LLC, Osaic FS, Inc.
Respondent Representative(s): Donnell C. Much, Valerie Holder
Neutral(s): Stuart K. Furman, Marvin L. Schuldiner, Mary Kathleen Coleman
Hearing Site: Houston, TX
|
Award | FINRA | 07/30/2025 |
| 25-00605 | Claimant(s): Evellyn Cardenas
Claimant Representative(s): Evellyn Cardenas
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): William M. Turner
Neutral(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
|
Award | FINRA | 07/30/2025 |