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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00638 | Claimant(s): Todd Bendell
Claimant Representative(s): Austin Davis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Daryl S. Landy
Neutral(s): Roger A. Geddes
Hearing Site: Phoenix, AZ
|
Award | FINRA | 03/04/2026 |
| 25-00604 | Claimant(s): Carolina Rida Jaafar
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Neal S. Robb
Neutral(s): Katherine Hendricks, Mark R. Lee, Neil Harvey Smith
Hearing Site: San Diego, CA
|
Award | FINRA | 03/03/2026 |
| 25-00727 | Claimant(s): Eric Stiba
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Lion Street Financial, LLC
Respondent Representative(s): Benjamin J. Biard
Neutral(s): Evalyn Lipton Fishbein, Debra Black Leo, Jason Allen Rosner
Hearing Site: Dallas, TX
|
Award | FINRA | 03/03/2026 |
| 24-00915 | Claimant(s): Ameriprise Financial Services, LLC.
Claimant Representative(s): Brandon M. Taaffe
Respondent(s): Mitchell McCann, LPL Financial LLC, Wesley McCann
Respondent Representative(s): Alexander M. Madrid, Scott Matasar
Neutral(s): Richard C. Downing, Richard Edward Rassel, John Klusinske
Hearing Site: Detroit, MI
|
Award | FINRA | 03/03/2026 |
| 25-01878 | Claimant(s): Juan Elwaw
Claimant Representative(s): Randi P Spallina
Respondent(s): Morgan Stanley
Respondent Representative(s): Brandy Fernandez
Neutral(s): Paul H. Lamboley, Leon Fox, Carol Maria Luttati
Hearing Site: Boca Raton, FL
|
Award | FINRA | 03/03/2026 |
| 24-01858 | Claimant(s): Bobbie McRae, Cathy Shubert, Darryl McRae, Elizabeth Palompo, Elvis Miller, John Sims, Kay Sims, Lacrecha Anderson, Linda Sims, Margaret Mayes, Marilyn Atkinson, Sandra Odol, Sonja Mattingley
Claimant Representative(s): Michael C. Bixby
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz
Neutral(s): Denise Morris Hammond, Isaac D. East, Albert John Bowden
Hearing Site: Jacksonville, FL
|
Award | FINRA | 03/03/2026 |
| 24-01858 | Claimant(s): Bobbie McRae, Cathy Shubert, Darryl McRae, Elizabeth Palompo, Elvis Miller, John Sims, Kay Sims, Lacrecha Anderson, Linda Sims, Margaret Mayes, Marilyn Atkinson, Sandra Odol, Sonja Mattingley
Claimant Representative(s): Michael C. Bixby
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz
Neutral(s): Denise Morris Hammond, Isaac D. East, Albert John Bowden
Hearing Site: Jacksonville, FL
|
Award | FINRA | 03/03/2026 |
| 25-00377 | Claimant(s): Christiana Webb
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Representative(s): Kimberly J. Gustafson
Neutral(s): Susan C. Lushing, Dianne Marie Onichimowski, Matthew Stephen Duchesne
Hearing Site: Atlanta, GA
|
Award | FINRA | 03/02/2026 |
| 24-02417 | Claimant(s): Yvan Cao
Claimant Representative(s): Elizabeth Fellmeth
Respondent(s): Edward Jones
Respondent Representative(s): Eric A. Michaels
Neutral(s): Roger M. Deitz, Randy R. Maher, Donna Ross Philip
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/02/2026 |
| 09-03564 | Claimant(s): Mark D. Oge and Linda K. Oge
Claimant Representative(s): Robert V. Cornish
Respondent(s): James Cox
Respondent Representative(s): James Keith Cox
Neutral(s): William John Sommers, Jacqueline Mae Goldberg, Lynn L. Lightfoot
Hearing Site: New Orleans, LA
|
Award | FINRA | 03/02/2026 |
| 25-00190 | Claimant(s): Carson Strategic Management LLC, Carson Strategic Derivatives, L.P.
Claimant Representative(s): Steve A. Miller
Respondent(s): Marex Capital Markets Inc.
Respondent Representative(s): Brian J. Poronsky
Neutral(s): Michael David Broder, Ruth M. Moore, Francis Vincent Cristiano
Hearing Site: Denver, CO
|
Award | FINRA | 03/02/2026 |
| 24-01922 | Claimant(s): Morgan Stanley
Claimant Representative(s): Adam Kauff
Respondent(s): Gary McCarthy, Kwame Adusei
Respondent Representative(s): Christopher P. Milazzo, Kwame Adusei
Neutral(s): David J. Pollitzer, Natalie Jennifer Bordeaux, Lisa A Proskin
Hearing Site: Albany, NY
|
Award | FINRA | 03/02/2026 |
| 25-01450 | Claimant(s): Kevin Bailey
Claimant Representative(s): Gordon C. Young
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett R. Wynne
Neutral(s): Patricia Ann Tracey, Barry David Thorpe, Susan L. Walker
Hearing Site: Phoenix, AZ
|
Award | FINRA | 02/27/2026 |
| 25-02136 | Claimant(s): Lawrence Davis
Claimant Representative(s): Lawrence A. Davis
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Alan D. Romero
Neutral(s): William W. Haskell
Hearing Site: Honolulu, HI
|
Award | FINRA | 02/27/2026 |
| 25-01168 | Claimant(s): Karl Jones
Claimant Representative(s): Karl Lorenzo Jones
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kevin S. Blume
Neutral(s): Karen Roberts Washington
Hearing Site: Houston, TX
|
Award | FINRA | 02/27/2026 |