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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02218 | Claimant(s): Andrew Perry
Claimant Representative(s): Robert J. Moses
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Vincent C. Pangia, Jeffrey Alan Helewitz, Alden Sharp Adkins
Hearing Site: Wilmington, DE
|
Award | FINRA | 04/24/2026 |
| 23-02659 | Claimant(s): Graham Heck, Rick Fuchs
Claimant Representative(s): Robert E. Linkin
Respondent(s): Steward Partners Global Advisory, LLC, Steward Partners Investment Solutions
Respondent Representative(s): Michael T. Roche
Neutral(s): Heather Gaile Layton, Pam Rea, Tommy Dale Overton
Hearing Site: Houston, TX
|
Award | FINRA | 04/24/2026 |
| 24-02011 | Claimant(s): Gerald Ostrowiecki
Claimant Representative(s): Gerald Ostrowiecki
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Alan D. Romero
Neutral(s): Paul E. Dahlman, Kyu H. Kim, Andrew Ryan Shoemaker
Hearing Site: Cheyenne, WY
|
Award | FINRA | 04/24/2026 |
| 24-00407 | Claimant(s): Odeon Capital Group LLC
Claimant Representative(s): Matthew A. Katz
Respondent(s): Hilltop Securities Inc.
Respondent Representative(s): Jonathan D. Neerman
Neutral(s): Steven J. Petrie, Charles L. Henderson, Raymond A. Urci
Hearing Site: New York, NY
|
Award | FINRA | 04/23/2026 |
| 24-00407 | Claimant(s): Odeon Capital Group LLC
Claimant Representative(s): Matthew A. Katz
Respondent(s): Hilltop Securities Inc.
Respondent Representative(s): Jonathan D. Neerman
Neutral(s): Steven J. Petrie, Charles L. Henderson, Raymond A. Urci
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 04/23/2026 |
| 25-02319 | Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Alan Wolper
Respondent(s): Justin Harrell
Respondent Representative(s): Justin Harrell
Neutral(s): Kathy A. Tatone
Hearing Site: Tampa, FL
|
Award | FINRA | 04/22/2026 |
| 24-02554 | Claimant(s): Carlos Cusnier-Albrecht
Claimant Representative(s): Jorge Altamirano
Respondent(s): First Southern, LLC
Respondent Representative(s): Alan M. Wolper
Neutral(s): Mark A. Myers, Luz Cenit Deliz Cruz, Emmalind Garcia Garcia
Hearing Site: San Juan, PR
|
Award | FINRA | 04/22/2026 |
| 24-02442 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Adam Drake
Respondent(s): David Labourdette, &Partners
Respondent Representative(s): Pete S. Michaels
Neutral(s): Vincent Micciche, Thomas Benjamin Salzer, Edward W. Morris
Hearing Site: Syracuse, NY
|
Award | FINRA | 04/22/2026 |
| 25-01270 | Claimant(s): Equitable Advisors, LLC, Equitable Network, LLC
Claimant Representative(s): Morgan B. Thompson
Respondent(s): Rajesh Bhanshali
Respondent Representative(s): Rajesh M. Bhanshali
Neutral(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
|
Award | FINRA | 04/22/2026 |
| 23-01797 | Claimant(s): James Isaacs, Isaacs Investments, LLP
Claimant Representative(s): Robert E. Linkin
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeff P. Palmer
Neutral(s): Brian James Tagtmeier, Phyllis Ann Diamond, Dwayne Nealy McClelland
Hearing Site: Houston, TX
|
Award | FINRA | 04/21/2026 |
| 25-01139 | Claimant(s): Austin Cook
Claimant Representative(s): Tyler Reynolds
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Leslie S. Blickenstaff
Neutral(s): Cindy L. Anderson
Hearing Site: Jacksonville, FL
|
Award | FINRA | 04/21/2026 |
| 25-00809 | Claimant(s): James Mosley
Claimant Representative(s): James Mosley
Respondent(s): Fidelity Brokerage Services LLC, Sean Huggins, Winfred Nemlin
Respondent Representative(s): Joseph Calabrese
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/21/2026 |
| 25-00809 | Claimant(s): James Mosley
Claimant Representative(s): James Mosley
Respondent(s): Fidelity Brokerage Services LLC, Sean Huggins, Winfred Nemlin
Respondent Representative(s): Joseph Calabrese
Neutral(s): Julie K. Chapin, Joseph Patrick Murphy, William J. Connell
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/21/2026 |
| 25-00177 | Claimant(s): Theresa DiRuzzo, IRA
Claimant Representative(s): Anthony DiRuzzo
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Thomas F. Barnett
Neutral(s): Maurice M. Feller, Howard N. Gorney, Brian John Gallagher
Hearing Site: Providence, RI
|
Award | FINRA | 04/20/2026 |
| 25-00177 | Claimant(s): Theresa DiRuzzo, IRA
Claimant Representative(s): Anthony DiRuzzo
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Thomas F. Barnett
Neutral(s): Maurice M. Feller, Howard N. Gorney, Brian John Gallagher
Hearing Site: Providence, RI
|
Motion to Vacate | FINRA | 04/20/2026 |