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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-00989 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 03/20/2026 |
| 25-00290 | Claimant(s): Julio Julien
Claimant Representative(s): Julio E. Julien
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): David E. Crawford, Marcy Hahn, Azin Lotfi
Hearing Site: Indianapolis, IN
|
Award | FINRA | 03/20/2026 |
| 25-01563 | Claimant(s): Melanie Gilmore, Robert Palatella
Claimant Representative(s): Eric D. Martin
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoffrey Beckham
Neutral(s): Jonathan H. Krotinger, Ralph L. Jacobson, George Pinckney Shingler
Hearing Site: San Diego, CA
|
Award | FINRA | 03/20/2026 |
| 24-01931 | Claimant(s): Elton Simoes
Claimant Representative(s): Michael C. Bixby
Respondent(s): Truist Investment Services, Inc.
Respondent Representative(s): Josef Y. Rosen
Neutral(s): Patrick J. Halter, Katherine L Sidener, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|
Award | FINRA | 03/20/2026 |
| 25-00352 | Claimant(s): Steven LeBaron
Claimant Representative(s): Brian R. Luther
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Wendy Thomas
Neutral(s): Robert J. McDonnell, Grant D. Sanders, Allan R. Lazor
Hearing Site: San Diego, CA
|
Award | FINRA | 03/20/2026 |
| 25-00176 | Claimant(s): Mitchell Felton
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Rebecca Swenson
Neutral(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
|
Award | FINRA | 03/20/2026 |
| 25-01623 | Claimant(s): Thomas Wangness
Claimant Representative(s): Thomas V Wangness
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Samer N. Aref
Neutral(s): Ian S. Greig
Hearing Site: Columbia, SC
|
Award | FINRA | 03/19/2026 |
| 25-00963 | Claimant(s): Batishwa Srouji, Nadeen Srouji, Srouji Irrevocable Trust dated 1/21/2018
Claimant Representative(s): Steven E. Angstreich
Respondent(s): Brian Hoffman, Janney Montgomery Scott LLC
Respondent Representative(s): Theodore R. Snyder
Neutral(s): Gordon M. Wase, James T. McLaughlin, Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
|
Award | FINRA | 03/19/2026 |
| 24-00438 | Claimant(s): Sonenshine & Company LLC, Sonenshine Partners LLC
Claimant Representative(s): Ian McLoughlin
Respondent(s): Cosmos Merger Sub Inc., Enghouse Interactive, Inc., Enghouse Systems Ltd, Qumu Corporation
Respondent Representative(s): Kathryn J. Boyle
Neutral(s): Karen J. Orlin, Thomas M. Madden, Charles L Brutten
Hearing Site: New York, NY
|
Award | FINRA | 03/18/2026 |
| 24-00438 | Claimant(s): Sonenshine & Company LLC, Sonenshine Partners LLC
Claimant Representative(s): Ian McLoughlin
Respondent(s): Cosmos Merger Sub Inc., Enghouse Interactive, Inc., Enghouse Systems Ltd, Qumu Corporation
Respondent Representative(s): Kathryn J. Boyle
Neutral(s): Karen J. Orlin, Thomas M. Madden, Charles L Brutten
Hearing Site: New York, NY
|
Award | FINRA | 03/18/2026 |
| 25-00937 | Claimant(s): Sue Van Der Linden
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley & Co., LLC
Respondent Representative(s): Brandy Fernandez
Neutral(s): Steven Gerard Goerke, Nanci Sondra Landy, Jason Allen Rosner
Hearing Site: Washington, DC
|
Award | FINRA | 03/17/2026 |
| 25-00949 | Claimant(s): Boustead Securities, LLC
Claimant Representative(s): Gordon C. Young
Respondent(s): Moveaction Co., Ltd.
Respondent Representative(s): Corporate Office
Neutral(s): Jonathan H. Krotinger, Mary Mackey, Joseph Edward Floren
Hearing Site: San Francisco, CA
|
Award | FINRA | 03/17/2026 |
| 23-01914 | Claimant(s): Robert Turner
Claimant Representative(s): Harold W. Grigdesby
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Carole G. Miller
Neutral(s): Jane A. Smith, Tammy J Meyer, Shannon Zengler
Hearing Site: Indianapolis, IN
|
Award | FINRA | 03/16/2026 |
| 23-02550 | Claimant(s): Anthony Gurino, OPM Opportunities LLC, Tahoe Enterprise LLC
Claimant Representative(s): Joseph R. Bongiorno
Respondent(s): Michael Greenfield, NewBridge Securities Corp.
Respondent Representative(s): Gregg J. Breitbart, Mark R. Simms
Neutral(s): Laura Carraher, Jeffrey Alan Helewitz, Ivan W. Harper
Hearing Site: New York, NY
|
Award | FINRA | 03/16/2026 |
| 25-01955 | Claimant(s): Rayath Chowdhury
Claimant Representative(s): Rayath A. Chowdhury
Respondent(s): SoFi Securities LLC
Respondent Representative(s): Dana S. Gloor
Neutral(s): Mitchell Regenbogen
Hearing Site: New York, NY
|
Award | FINRA | 03/16/2026 |