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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-02235 | Claimant(s): David Thiele
Claimant Representative(s): Austin Davis
Respondent(s): FSC Securities Corporation
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Langfred W. White, Carolyn L. Witherspoon, James W. Kerr
Hearing Site: Portland, OR
|
Award | FINRA | 08/08/2025 |
| 24-00358 | Claimant(s): Patrick O'Neill
Claimant Representative(s): Matthew B. Baum
Respondent(s): Morgan Stanley, Morgan Stanley Compensation Management
Respondent Representative(s): Tracy L. Gerber
Neutral(s): Earlene R. Baggett-Hayes, Eugene Kenneth Laporte, Sandra Franklin
Hearing Site: Detroit, MI
|
Award | FINRA | 08/08/2025 |
| 24-02234 | Claimant(s): Thomas Kroehle
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services, LLC
Respondent Representative(s): Richard A. D'Amura
Neutral(s): Thomas A. Martin, Benjamin F. Breslauer, Leo G. Stern
Hearing Site: Dallas, TX
|
Award | FINRA | 08/08/2025 |
| 24-00881 | Claimant(s): Warren Vogel and Stella-Coca Vogel
Claimant Representative(s): Steven D. Toskes
Respondent(s): James McArthur, Vincent Camarda, A.G. Morgan Financial Advisors, LLC
Respondent Representative(s): James Edward McArthur, Vincent Jerome Camarda
Neutral(s): Martin A. Feigenbaum, Nofrey Matthew Fornaro, Jason Zachary Jones
Hearing Site: Boca Raton, FL
|
Award | FINRA | 08/08/2025 |
| 24-00455 | Claimant(s): William Cabrera
Claimant Representative(s): Tosh Grebenik
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Sarah Henderson
Neutral(s): Thomas E Shuck, Barry D. Kaye, Gecole L. Harley
Hearing Site: Los Angeles, CA
|
Award | FINRA | 08/08/2025 |
| 23-02610 | Claimant(s): Richelle Vandiver
Claimant Representative(s): Andrew J. Mytelka
Respondent(s): Robinhood Financial, LLC, Robinhood Securities, LLC
Respondent Representative(s): Peter S. Fruin
Neutral(s): Theodore W. Wrobleski, Frances P. Kao, Antonia Lynn Wesselink
Hearing Site: Chicago, IL
|
Award | FINRA | 08/07/2025 |
| 22-02365 | Claimant(s): Kent Crow, Nancy Crow
Claimant Representative(s): Michael C. Bixby
Respondent(s): Center Street Securities, Inc.
Respondent Representative(s): Donald Pollard
Neutral(s): Tracy L. Allen, James M. Stern, Bradley Guy Gaskell
Hearing Site: St. Louis, MO
|
Award | FINRA | 08/07/2025 |
| 25-00326 | Claimant(s): Guy Presutti
Claimant Representative(s): Jon Uretsky
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Alexa P. Saberito
Neutral(s): Gregory D. Hoffmann, Barry H. Barnett, Mark C Watler
Hearing Site: Boston, MA
|
Award | FINRA | 08/07/2025 |
| 23-00060 | Claimant(s): James Dean
Claimant Representative(s): Barry R. Lax
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Kirsten M. Grossman
Neutral(s): Mario H. Metzger, Katherine Joan Cameron, Andrew W. Levin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 08/07/2025 |
| 23-01640 | Claimant(s): Anibal Davila Castro
Claimant Representative(s): Osvaldo Carlo Linares
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Seth L. Finkel, Pedro Jose Fornaris, Ricardo Aponte-Parsi
Hearing Site: San Juan, PR
|
Award | FINRA | 08/07/2025 |
| 24-02403 | Claimant(s): Jonathan Ende
Claimant Representative(s): Liam O'Brien
Respondent(s): Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok
Neutral(s): Alida D. Camp, Adam B. Lass, Andrew M. Schmertz
Hearing Site: New York, NY
|
Award | FINRA | 08/05/2025 |
| 24-02611 | Claimant(s): John Carroll
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, UBS Financial Services Inc.
Respondent Representative(s): John Murphy, Lawrence G. Barbot
Neutral(s): John J. Fitzpatrick, Charles A. Palmer, Christopher M. McMurray
Hearing Site: Boston, MA
|
Award | FINRA | 08/05/2025 |
| 23-00975 | Claimant(s): Ananda OM LLC, Ananta-OM Foundation LLC, Ananta-OM Management Inc., Shanti Family Trust Exempt LLC
Claimant Representative(s): David R. Allen
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Jovalin Dedaj
Neutral(s): Cheryl H. Agris, Peter E. Gillespie, Jonathan Blank
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 24-01901 | Claimant(s): Jun Chen
Claimant Representative(s): Austin Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): James J. Fishman
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |
| 23-02862 | Claimant(s): John Lowry
Claimant Representative(s): Thomas McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Maureen Toale
Neutral(s): Ellyn S. Roth
Hearing Site: New York, NY
|
Award | FINRA | 08/01/2025 |