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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01882 | Claimant(s): Maksim Spirin
Claimant Representative(s): Maksim Spirin
Respondent(s): Webull Financial LLC
Respondent Representative(s): Naomi Babu
Neutral(s): Michael Harrison
Hearing Site: Los Angeles, CA
|
Award | FINRA | 02/20/2026 |
| 23-01789 | Claimant(s): Chris Katsimpalis, Lorraine Katsimpalis
Claimant Representative(s): Michael C. Bixby
Respondent(s): Morgan Stanley
Respondent Representative(s): Peter S. Fruin
Neutral(s): Charles E. White, Tinisha Monique Glenn, Henry Carey Strickland
Hearing Site: Birmingham, AL
|
Award | FINRA | 02/20/2026 |
| 24-01755 | Claimant(s): Betty Parsonage
Claimant Representative(s): Matthew N. Thibaut
Respondent(s): Randy Fox
Respondent Representative(s): Randy Cleve Fox
Neutral(s): Thomas R. Watkins, David F. Sargent, David Kennedy Duncan
Hearing Site: Phoenix, AZ
|
Award | FINRA | 02/20/2026 |
| 25-02088 | Claimant(s): Alysha Hart
Claimant Representative(s): Alysha Hart
Respondent(s): Fidelity Brokerage Services LLC, Fidelity Distributors Company LLC
Respondent Representative(s): Erin Sinclair
Neutral(s): Frances P. Kao
Hearing Site: Chicago, IL
|
Award | FINRA | 02/20/2026 |
| 25-01401 | Claimant(s): Christopher Cox
Claimant Representative(s): Andrew R. Park
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Lawrence E. Dube, Robert D. Sussin, Morton S. Bunis
Hearing Site: Richmond, VA
|
Award | FINRA | 02/19/2026 |
| 22-02653 | Claimant(s): Heidi Voeller, Michael Voeller
Claimant Representative(s): David Vermont
Respondent(s): John Lowry, Kim Monchik, Spartan Capital Securities, LLC
Respondent Representative(s): Michael H. Ference
Neutral(s): Mark L Miller, Julia Yael Ramos, James Paul Young
Hearing Site: Bismarck, ND
|
Award | FINRA | 02/18/2026 |
| 25-01120 | Claimant(s): Aaron Martin
Claimant Representative(s): Tyler Reynolds
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Dale A. Evans Jr.
Neutral(s): Michael J. Ahlstrom, Steven R. Rolnick, Kathy A. Tatone
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/18/2026 |
| 22-01437 | Claimant(s): Khaled Hussein
Claimant Representative(s): Khaled Hussein
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Lawton R. Graves
Neutral(s): David M. Snyder, Lisa J. Cappalli, Eric Enrique
Hearing Site: Orlando, FL
|
Award | FINRA | 02/18/2026 |
| 25-00824 | Claimant(s): Christopher Kane
Claimant Representative(s): Tosh Grebenik
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Representative(s): Christopher Smulevitz
Neutral(s): Mark R. Lee, Frances Johnson Wright, Eugene G. P. Byrne
Hearing Site: New York, NY
|
Award | FINRA | 02/17/2026 |
| 22-02510 | Claimant(s): Jerry Davis, Peak CM, LLC
Claimant Representative(s): Jerry Davis
Respondent(s): Claudio Gambin Neto, MML Investors Services, LLC
Respondent Representative(s): Benjamin J. Biard, Julie E. Ravis
Neutral(s): Gayle B. Carlson, Kenrick Albert Pratt, Christy Lyn Foley
Hearing Site: Orlando, FL
|
Award | FINRA | 02/17/2026 |
| 25-01222 | Claimant(s): Andrew Stout
Claimant Representative(s): Peter Lindholm
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura T. Ruiz Rivera
Neutral(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
|
Award | FINRA | 02/17/2026 |
| 24-00571 | Claimant(s): James Baldocchi, Tina Baldocchi, James Baldocchi obo his Rollover IRA, James Baldocchi obo his Roth IRA, James Doorley, IRA, Kimberly Hosler, IRA, James and Tina Baldocchi, Doorley-Hosler Family Trust, James Baldocchi obo his FMTC Account
Claimant Representative(s): Matthew N. Thibaut
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Donald R. Littlefield
Neutral(s): David F. Sargent, Jerome Allan Landau, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
|
Award | FINRA | 02/17/2026 |
| 25-02039 | Claimant(s): George W. Singleton III
Claimant Representative(s): George W. Singleton
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Erin Sinclair
Neutral(s): Platt W. Davis
Hearing Site: Houston, TX
|
Award | FINRA | 02/17/2026 |
| 23-02944 | Claimant(s): Brian Kennedy
Claimant Representative(s): Jennifer Cox
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Representative(s): Gregg Curley
Neutral(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
|
Award | FINRA | 02/17/2026 |
| 24-02126 | Claimant(s): Samuel Parker Jr.
Claimant Representative(s): Coren H. Stern
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Stefanie R. Moll
Neutral(s): Allan R. Lazor, James Douglas Gaughan, Cary Valden Sorensen
Hearing Site: Houston, TX
|
Award | FINRA | 02/13/2026 |