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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00802 | Claimant(s): Robert Cesarano
Claimant Representative(s): Robert Cesarano
Respondent(s): Fidelity Brokerage Services LLC, Tae Kim
Respondent Representative(s): Rebecca E. Swenson
Neutral(s): Michael H. DuBoff
Hearing Site: Jersey City, NJ
|
Award | FINRA | 10/07/2025 |
| 24-00987 | Claimant(s): Ella Keptsi, Mark Keptsi
Claimant Representative(s): Dietrich Epperson
Respondent(s): James McArthur, Vincent Camarda, A.G. Morgan Financial Advisors, LLC
Respondent Representative(s): James Edward McArthur, Vincent Jerome Camarda
Neutral(s): Alice E. Winkler, Michael David Blechman, Ryan Lake
Hearing Site: New York, NY
|
Award | FINRA | 10/06/2025 |
| 24-01442 | Claimant(s): Peter Zheng
Claimant Representative(s): Peter Zheng
Respondent(s): Robinhood Securities, LLC
Respondent Representative(s): Kathryn B. Rockwood
Neutral(s): Richard Lee Mansdoerfer, Jianping James Hsui, Steven Landis
Hearing Site: New York, NY
|
Award | FINRA | 10/06/2025 |
| 23-02187 | Claimant(s): Rocco Guidicipietro
Claimant Representative(s): Scott Holcomb
Respondent(s): Jamie DellaPolla
Respondent Representative(s): Justin D. Santagata
Neutral(s): Robert J. Kheel, Judith Fields Jurney, Cheung David Chhieng
Hearing Site: New York, NY
|
Award | FINRA | 10/06/2025 |
| 24-02060 | Claimant(s): Jaimie Davis
Claimant Representative(s): Jaimie Davis
Respondent(s): Curtis Sathre, John Schooler, Thomas Hanson, Warren Horney, WFP Securities Corporation
Respondent Representative(s): Avi Wagner, Brandon S. Reif
Neutral(s): Ann H. Nevers, Eric Gad Forster, Clayton Kelly Hurst
Hearing Site: Las Vegas, NV
|
Award | FINRA | 10/03/2025 |
| 23-02407 | Claimant(s): Hantz Financial Services, Inc.
Claimant Representative(s): David J. Shea
Respondent(s): Charles Tourangeau, Raymond James & Associates, Inc., Nicholas Omicioli, Nicole Bell, Stephen Solverson
Respondent Representative(s): Raymond W. Henney
Neutral(s): Patrick R. Sughroue, John Polakas, Felicia Gail Harris
Hearing Site: Detroit, MI
|
Award | FINRA | 10/03/2025 |
| 23-02089 | Claimant(s): Steven Lewis
Claimant Representative(s): Jeffrey Hellman
Respondent(s): Morgan Stanley, Lisa Capobianco, Randy Holmeen
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Mary Elizabeth Satran, Peter E. Gillespie, Paula M. Bagger
Hearing Site: Hartford, CT
|
Award | FINRA | 10/02/2025 |
| 25-00903 | Claimant(s): Brian Pfeifler
Claimant Representative(s): Peter R. Boutin
Respondent(s): Morgan Stanley
Respondent Representative(s): Alejandro Schwed
Neutral(s): Ted M. Rosen, Edward W. Morris, John Russell Barlow
Hearing Site: New York, NY
|
Award | FINRA | 10/02/2025 |
| 24-01284 | Claimant(s): Jacob Statz
Claimant Representative(s): Mark E Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart Roberts
Neutral(s): Robert J. Scafuri, David E. Bailey, Andrew John Powers
Hearing Site: Indianapolis, IN
|
Award | FINRA | 10/01/2025 |
| 25-00775 | Claimant(s): Gary Gunsalus
Claimant Representative(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Erik R. Siering
Hearing Site: Phoenix, AZ
|
Award | FINRA | 10/01/2025 |
| 24-00220 | Claimant(s): Robert Kaiser
Claimant Representative(s): Trevor J. Hatfield
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Stuart D. Roberts
Neutral(s): Constance Ellen Boukidis, Terry Johnson, Mary Kay Scucci
Hearing Site: Las Vegas, NV
|
Award | FINRA | 10/01/2025 |
| 20-03775 | Claimant(s): Robert Petrocine
Claimant Representative(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services, LLC, John Leahy, Marlene Yacenda
Respondent Representative(s): Michael J. Zaretsky
Neutral(s): Michael H. DuBoff, Howard Alan Grinsberg, Loretta Yin
Hearing Site: Jersey City, NJ
|
Award | FINRA | 10/01/2025 |
| 23-03363 | Claimant(s): The Decendants Trust UA Jean Prather dtd
Claimant Representative(s): Matthew Thibaut
Respondent(s): Triad Advisors LLC, Jeffrey Paladini
Respondent Representative(s): Justin Sacca, Matthew B. Henneman
Neutral(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
|
Award | FINRA | 09/30/2025 |
| 25-00620 | Claimant(s): Bo Wang
Claimant Representative(s): Austin Davis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Patrick J. Halter, Michael Harrison, Stephen P. Calardo
Hearing Site: New York, NY
|
Award | FINRA | 09/29/2025 |
| 25-00794 | Claimant(s): Yusuf Hai
Claimant Representative(s): Yusuf Abdul Hai
Respondent(s): Kenneth Chaput, Osman Minkara, CIG Capital Advisors, CIG Securities
Respondent Representative(s): James V. Garvey
Neutral(s): Charles A. Palmer, Anthony R. Paesano, Valerie Main
Hearing Site: Detroit, MI
|
Award | FINRA | 09/29/2025 |