For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01044 | Claimant(s): Oppenheimer & Co., Inc.
Claimant Representative(s): Alexa Saberito
Respondent(s): Benjamin Cardinal
Respondent Representative(s): Benjamin Z. Cardinal
Neutral(s): Jay Alan Kranis
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 08/12/2025 |
| 25-01044 | Claimant(s): Oppenheimer & Co., Inc.
Claimant Representative(s): Alexa Saberito
Respondent(s): Benjamin Cardinal
Respondent Representative(s): Benjamin Z. Cardinal
Neutral(s): Jay Alan Kranis
Hearing Site: New York, NY
|
Award | FINRA | 08/12/2025 |
| 24-00880 | Claimant(s): Dana Woolfson and John Kaprat
Claimant Representative(s): Steven D. Toskes
Respondent(s): James McArthur, Vincent Camarda, A.G. Morgan Financial Advisors, LLC.
Respondent Representative(s): James Edward McArthur, Vincent Jerome Camarda
Neutral(s): Thomas M. Madden, James G Paulsen, Andrew David Rotstein
Hearing Site: New York, NY
|
Award | FINRA | 08/11/2025 |
| 22-01257 | Claimant(s): Faramarz Ghaninejad, Faramarz Ghaninejad IRA
Claimant Representative(s): Jonathan W. Evans
Respondent(s): Avi Bialo, Corrie Scoby, Joshua Rogers, Unbo Chung, Arete Wealth Management, LLC
Respondent Representative(s): Gregg J. Breitbart
Neutral(s): Jack R. Goetz, Adam Michael Porter, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
|
Award | FINRA | 08/11/2025 |
| 24-01527 | Claimant(s): Chuckie Wang, Trade At Ease, LLC
Claimant Representative(s): Chuckie Wang
Respondent(s): Cobra Trading, Inc.
Respondent Representative(s): Chifeng (Frank) Jiang
Neutral(s): Richard Marc Weinroth, Jeffrey Scott Dow, David Kennedy Duncan
Hearing Site: Phoenix, AZ
|
Award | FINRA | 08/08/2025 |
| 24-02235 | Claimant(s): David Thiele
Claimant Representative(s): Austin Davis
Respondent(s): FSC Securities Corporation
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Langfred W. White, Carolyn L. Witherspoon, James W. Kerr
Hearing Site: Portland, OR
|
Award | FINRA | 08/08/2025 |
| 24-00358 | Claimant(s): Patrick O'Neill
Claimant Representative(s): Matthew B. Baum
Respondent(s): Morgan Stanley, Morgan Stanley Compensation Management
Respondent Representative(s): Tracy L. Gerber
Neutral(s): Earlene R. Baggett-Hayes, Eugene Kenneth Laporte, Sandra Franklin
Hearing Site: Detroit, MI
|
Award | FINRA | 08/08/2025 |
| 24-02234 | Claimant(s): Thomas Kroehle
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services, LLC
Respondent Representative(s): Richard A. D'Amura
Neutral(s): Thomas A. Martin, Benjamin F. Breslauer, Leo G. Stern
Hearing Site: Dallas, TX
|
Award | FINRA | 08/08/2025 |
| 24-00881 | Claimant(s): Warren Vogel and Stella-Coca Vogel
Claimant Representative(s): Steven D. Toskes
Respondent(s): James McArthur, Vincent Camarda, A.G. Morgan Financial Advisors, LLC
Respondent Representative(s): James Edward McArthur, Vincent Jerome Camarda
Neutral(s): Martin A. Feigenbaum, Nofrey Matthew Fornaro, Jason Zachary Jones
Hearing Site: Boca Raton, FL
|
Award | FINRA | 08/08/2025 |
| 24-00455 | Claimant(s): William Cabrera
Claimant Representative(s): Tosh Grebenik
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Sarah Henderson
Neutral(s): Thomas E Shuck, Barry D. Kaye, Gecole L. Harley
Hearing Site: Los Angeles, CA
|
Award | FINRA | 08/08/2025 |
| 23-02610 | Claimant(s): Richelle Vandiver
Claimant Representative(s): Andrew J. Mytelka
Respondent(s): Robinhood Financial, LLC, Robinhood Securities, LLC
Respondent Representative(s): Peter S. Fruin
Neutral(s): Theodore W. Wrobleski, Frances P. Kao, Antonia Lynn Wesselink
Hearing Site: Chicago, IL
|
Award | FINRA | 08/07/2025 |
| 22-02365 | Claimant(s): Kent Crow, Nancy Crow
Claimant Representative(s): Michael C. Bixby
Respondent(s): Center Street Securities, Inc.
Respondent Representative(s): Donald Pollard
Neutral(s): Tracy L. Allen, James M. Stern, Bradley Guy Gaskell
Hearing Site: St. Louis, MO
|
Award | FINRA | 08/07/2025 |
| 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 |