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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02242 | Claimant(s): Jared Roskelley
Claimant Representative(s): Alan Baskin
Respondent(s): Cambridge Investment Research, Inc.
Respondent Representative(s): Kristina J Branstetter
Neutral(s): Joseph C. Watson, Lawrence R. Mills, Michael Evan Beckman
Hearing Site: Phoenix, AZ
|
Award | FINRA | 06/29/2026 |
| 25-00038 | Claimant(s): Katrin Tash
Claimant Representative(s): Philip L. Vujanov
Respondent(s): Independent Financial Group, LLC.
Respondent Representative(s): Natalie P. Vance
Neutral(s): Robert C. Albini, Jack R. Goetz, Diane Luckey
Hearing Site: Los Angeles, CA
|
Award | FINRA | 06/29/2026 |
| 25-01783 | Claimant(s): Xavier Pol
Claimant Representative(s): Jennifer Cox
Respondent(s): AllianceBernstein Investments, Inc.
Respondent Representative(s): Chris Coss
Neutral(s): Mauricio Arcadier
Hearing Site: Nashville, TN
|
Award | FINRA | 06/29/2026 |
| 25-02298 | Claimant(s): Raleigh Galiano
Claimant Representative(s): James P. Galvin
Respondent(s): LPL Financial LLC
Respondent Representative(s): Eleonora Yonge
Neutral(s): Gloria O. North, William E. Nuckel, John James McGovern
Hearing Site: New Orleans, LA
|
Award | FINRA | 06/26/2026 |
| 25-00321 | Claimant(s): Craig Bonn
Claimant Representative(s): Tosh Grebenik
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Representative(s): Charles Smulevitz
Neutral(s): Richard J. Lawrence, Jonathan B. Gilbert, Brian John Gallagher
Hearing Site: New York, NY
|
Award | FINRA | 06/26/2026 |
| 25-00993 | Claimant(s): Scott Brown
Claimant Representative(s): Peter Lindholm
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Paul Yarns
Neutral(s): Will Murphy, Kenneth Dymond, Stephanie Jeannette Charny
Hearing Site: Helena, MT
|
Award | FINRA | 06/26/2026 |
| 25-01413 | Claimant(s): Michael Schiavello, Vasilios Takos
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): Michael Fasciglione
Respondent Representative(s): Michael Fasciglione
Neutral(s): Veronica Ann Williams, Usher Thomasson Winslett, Ray Burke
Hearing Site: Jersey City, NJ
|
Award | FINRA | 06/26/2026 |
| 25-01006 | Claimant(s): Jason Jin
Claimant Representative(s): Peter Lindholm
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Carole G. Miller
Neutral(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
|
Award | FINRA | 06/26/2026 |
| 25-02774 | Claimant(s): Jeffrey Segal
Claimant Representative(s): David A. Conti
Respondent(s): Aidan Carucci, Fidelity Brokerage Services LLC
Respondent Representative(s): Kevin S. Blume
Neutral(s): Thomas M. Madden
Hearing Site: Boston, MA
|
Award | FINRA | 06/25/2026 |
| 25-02480 | Claimant(s): Leslie Wood
Claimant Representative(s): Joel Wertman
Respondent(s): Northwestern Mutual Investment Services, LLC
Respondent Representative(s): Clarke C. Greene
Neutral(s): Darryl C. Wilson, Frances Johnson Wright, Avery B. Goodman
Hearing Site: Birmingham, AL
|
Award | FINRA | 06/24/2026 |
| 26-00601 | Claimant(s): Siobhan Brady, William Meador
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): William E. Nuckel, Sabrina Raquel Scott, Shawn Ridgell
Hearing Site: New York, NY
|
Award | FINRA | 06/24/2026 |
| 26-00304 | Claimant(s): Sharon Mack
Claimant Representative(s): Kirsten M. Nowak
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): John R. Wylie, Rosa Linda Guadarrama, Thomas M. Madden
Hearing Site: Atlanta, GA
|
Award | FINRA | 06/24/2026 |
| 26-00232 | Claimant(s): Michael Armour
Claimant Representative(s): Michael Alan Armour
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Greg Curley
Neutral(s): Leah Murray Albert
Hearing Site: Wichita, KS
|
Award | FINRA | 06/24/2026 |
| 26-00232 | Claimant(s): Michael Armour
Claimant Representative(s): Michael Alan Armour
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Greg Curley
Neutral(s): Leah Murray Albert
Hearing Site: Wichita, KS
|
Award | FINRA | 06/24/2026 |
| 25-01472 | Claimant(s): Renee Cohen
Claimant Representative(s): Joshua B. Kons
Respondent(s): Northwestern Mutual Investment Services, LLC
Respondent Representative(s): Clarke Claibourne Greene
Neutral(s): Jeffrey L. Malek, Stephen Howard Marcus, Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
|
Award | FINRA | 06/23/2026 |