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 |
|---|---|---|---|---|
| 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 |
| 25-00503 | Claimant(s): Daniel Raupp
Claimant Representative(s): Jennifer Cox
Respondent(s): Concorde Investment Services, LLC
Respondent Representative(s): Nicole Woolson
Neutral(s): Douglas J. Nesbit, Michael J. Ahlstrom, Martin L. Feinberg
Hearing Site: New York, NY
|
Award | FINRA | 03/26/2026 |
| 25-02055 | Claimant(s): Stephen Wedel
Claimant Representative(s): Chemere K. Ellis
Respondent(s): LPL Financial LLC
Respondent Representative(s): Michael T. West
Neutral(s): Murray S. Levin, Katherine Hendricks, Alice E. Winkler
Hearing Site: Boca Raton, FL
|
Award | FINRA | 03/26/2026 |
| 23-02063 | Claimant(s): Richard Hall, Sharon Hall
Claimant Representative(s): Lars Soreide
Respondent(s): Darien Bonney
Respondent Representative(s): Arno Naeckel
Neutral(s): Loren Scott Buell, David S. Eisenberg, David Alun Moody
Hearing Site: Phoenix, AZ
|
Award | FINRA | 03/26/2026 |
| 25-01435 | Claimant(s): Steven Schiller
Claimant Representative(s): Kirk G. Smith
Respondent(s): James McArthur, Vincent Camarda, Momentix Capital, Inc.
Respondent Representative(s): Glenn Visco, James Edward Mcarthur, Vincent Jerome Camarda
Neutral(s): Eric Goldman
Hearing Site: New York, NY
|
Award | FINRA | 03/26/2026 |
| 23-02561 | Claimant(s): Catherine Ellis
Claimant Representative(s): Michael C. Bixby
Respondent(s): Morgan Stanley
Respondent Representative(s): Kendra Canape
Neutral(s): Christopher J. Klein, Anthony Richard Sanchez, Lloyd Green
Hearing Site: Orlando, FL
|
Award | FINRA | 03/25/2026 |