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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01317 | Claimant(s): Steven Schmitt
Claimant Representative(s): Matthew C. Plant
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Dora M. Lassinger, Michael L. Lyons, Edward R. Niederriter
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/15/2026 |
| 24-02389 | Claimant(s): Steven McClatchey
Claimant Representative(s): Myra Reid
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Matthew I. Penfield
Neutral(s): Tracy L. Allen, Tim V. Young, Azin Lotfi
Hearing Site: Indianapolis, IN
|
Award | FINRA | 04/15/2026 |
| 25-00385 | Claimant(s): Kim Gianetti, Paul Gianetti, Kim Gianetti, IRA, Paul Gianetti, IRA
Claimant Representative(s): Demian Betz
Respondent(s): Joseph Spina, OSAIC Wealth, Inc
Respondent Representative(s): Justin Sacca
Neutral(s): F. Peter Phillips, Carol Maria Luttati
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/14/2026 |
| 25-01071 | Claimant(s): Paul Tramontozzi
Claimant Representative(s): Jordan Plesser
Respondent(s): LPL Financial LLC
Respondent Representative(s): Eleonora Yong
Neutral(s): James C. Morrow, Kevin R. Zehe, Vincent S. Mezinko
Hearing Site: New York, NY
|
Award | FINRA | 04/14/2026 |
| 24-02238 | Claimant(s): B. Riley Wealth Management, Inc.
Claimant Representative(s): Emily A. Hayes
Respondent(s): Arturo Castelo Lopez
Respondent Representative(s): Arturo Castelo Lopez
Neutral(s): Steven M. Greenbaum, Gloria O. North, Mark A. Jacoby
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/14/2026 |
| 25-00731 | Claimant(s): Erlinda Rizzo
Claimant Representative(s): Erlinda M. Rizzo
Respondent(s): Raymond James Financial Services, Inc., Robert Cutrupi
Respondent Representative(s): Liam O'Brien, Michael S. Lamont
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/14/2026 |
| 25-00731 | Claimant(s): Erlinda Rizzo
Claimant Representative(s): Erlinda M. Rizzo
Respondent(s): Raymond James Financial Services, Inc., Robert Cutrupi
Respondent Representative(s): Liam O'Brien, Michael S. Lamont
Neutral(s): Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/14/2026 |
| 23-03356 | Claimant(s): Estate of Bernard J. Sherlip
Claimant Representative(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Representative(s): Theodore R. Snyder
Neutral(s): Sean Alan D'Amico, Clive I. Morrick, Jed Mark Horowitz
Hearing Site: Hartford, CT
|
Award | FINRA | 04/13/2026 |
| 25-02468 | Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Alan Wolper
Respondent(s): Molly Nguyen
Respondent Representative(s): Molly Nguyen
Neutral(s): Langfred W. White
Hearing Site: Tampa, FL
|
Award | FINRA | 04/13/2026 |
| 25-00418 | Claimant(s): Cabot Lodge Securities LLC
Claimant Representative(s): William B. Russell
Respondent(s): David Arlein
Respondent Representative(s): Murray Hudson
Neutral(s): Alan B. Goldstein, Steven E. Eisenberg, Michael D Felton
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/13/2026 |
| 23-01842 | Claimant(s): America Athene Campbell, Emily Cantor-Jacobson, Georgina Pazcoguin, Guy Jacobson, Guy Shahar, Karin Schlachter, Suet Wong, Caroline Ya Lin Pang and Timothy Garner, Joseph and Anat Leon, Robert and Christine Rigby-Hall
Claimant Representative(s): S. Christopher Provenzano
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Elliot C. Harvey Schatmeier
Neutral(s): Michael David Blechman, John Lawniczak, Maureen OBrien-Aderholdt
Hearing Site: New York, NY
|
Award | FINRA | 04/10/2026 |
| 25-02735 | Claimant(s): Debbra Thompson Ligon
Claimant Representative(s): Debbra Thompson Ligon
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Robert H. Putnam
Hearing Site: Atlanta, GA
|
Award | FINRA | 04/10/2026 |
| 25-01433 | Claimant(s): Joan Vorpahl
Claimant Representative(s): Christopher Darrow
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/10/2026 |
| 25-01220 | Claimant(s): Ray Gustin
Claimant Representative(s): Peter Lindholm
Respondent(s): Neuberger Berman BD LLC
Respondent Representative(s): Nicholas H. De Baun
Neutral(s): Mitchell Regenbogen
Hearing Site: New York, NY
|
Award | FINRA | 04/09/2026 |
| 25-02407 | Claimant(s): Patrick Millian
Claimant Representative(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Kenneth Crowley
Neutral(s): Martin L. Feinberg, Lynne M. Gomez, Mary Kathleen Coleman
Hearing Site: Chicago, IL
|
Award | FINRA | 04/09/2026 |