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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02055 | Claimant(s): Stephen Wedel
Claimant Representative(s): Chemere K. Ellis
Respondent(s): LPL Financial LLC
Respondent Representative(s): Michael T. West
Neutral(s): Murray S. Levin, Katherine Hendricks, Alice E. Winkler
Hearing Site: Boca Raton, FL
|
Award | FINRA | 03/26/2026 |
| 25-00503 | Claimant(s): Daniel Raupp
Claimant Representative(s): Jennifer Cox
Respondent(s): Concorde Investment Services, LLC
Respondent Representative(s): Nicole Woolson
Neutral(s): Douglas J. Nesbit, Michael J. Ahlstrom, Martin L. Feinberg
Hearing Site: New York, NY
|
Award | FINRA | 03/26/2026 |
| 23-02063 | Claimant(s): Richard Hall, Sharon Hall
Claimant Representative(s): Lars Soreide
Respondent(s): Darien Bonney
Respondent Representative(s): Arno Naeckel
Neutral(s): Loren Scott Buell, David S. Eisenberg, David Alun Moody
Hearing Site: Phoenix, AZ
|
Award | FINRA | 03/26/2026 |
| 25-01435 | Claimant(s): Steven Schiller
Claimant Representative(s): Kirk G. Smith
Respondent(s): James McArthur, Vincent Camarda, Momentix Capital, Inc.
Respondent Representative(s): Glenn Visco, James Edward Mcarthur, Vincent Jerome Camarda
Neutral(s): Eric Goldman
Hearing Site: New York, NY
|
Award | FINRA | 03/26/2026 |
| 23-02561 | Claimant(s): Catherine Ellis
Claimant Representative(s): Michael C. Bixby
Respondent(s): Morgan Stanley
Respondent Representative(s): Kendra Canape
Neutral(s): Christopher J. Klein, Anthony Richard Sanchez, Lloyd Green
Hearing Site: Orlando, FL
|
Award | FINRA | 03/25/2026 |
| 25-01728 | Claimant(s): Carine Smith
Claimant Representative(s): Ian McLoughlin
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Representative(s): Christopher C. Coss
Neutral(s): Seth L. Finkel, Jan Preece Gaddis, Michael S. Yauch
Hearing Site: Houston, TX
|
Award | FINRA | 03/24/2026 |
| 25-00179 | Claimant(s): Vinayak Birla
Claimant Representative(s): David M. Marco
Respondent(s): Robinhood Securities, LLC
Respondent Representative(s): Gerry A. Giurato
Neutral(s): David J Millstone, Lewis Gordon Brewer, Donald P Wood
Hearing Site: Tampa, FL
|
Award | FINRA | 03/23/2026 |
| 25-01676 | Claimant(s): Ramona Ivy
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): Edward Jones
Respondent Representative(s): Kevin H. Lewis
Neutral(s): Leah Murray Albert, Diane Ciccone, Theresa Joan Rosenberg
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/23/2026 |
| 25-01584 | Claimant(s): Adam Quarello
Claimant Representative(s): William Bean
Respondent(s): Oppenheimer & Co., Inc., UBS Financial Services Inc.
Respondent Representative(s): Alexa P. Saberito, John Murphy
Neutral(s): Steven N. Ainbinder, Steven H. Vogel, Joseph J. Dougherty
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/23/2026 |
| 23-00989 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 03/20/2026 |
| 25-00290 | Claimant(s): Julio Julien
Claimant Representative(s): Julio E. Julien
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Vincent P. Iannece
Neutral(s): David E. Crawford, Marcy Hahn, Azin Lotfi
Hearing Site: Indianapolis, IN
|
Award | FINRA | 03/20/2026 |
| 25-01563 | Claimant(s): Melanie Gilmore, Robert Palatella
Claimant Representative(s): Eric D. Martin
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoffrey Beckham
Neutral(s): Jonathan H. Krotinger, Ralph L. Jacobson, George Pinckney Shingler
Hearing Site: San Diego, CA
|
Award | FINRA | 03/20/2026 |
| 25-01127 | Claimant(s): Frank Tenteromano
Claimant Representative(s): Jennifer Cox
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Thomas J. Cahill
Neutral(s): Stephany Adriene Watson, Catherine Esther Bocskor, Peter M. Cosel
Hearing Site: New York, NY
|
Award | FINRA | 03/20/2026 |
| 24-01931 | Claimant(s): Elton Simoes
Claimant Representative(s): Michael C. Bixby
Respondent(s): Truist Investment Services, Inc.
Respondent Representative(s): Josef Y. Rosen
Neutral(s): Patrick J. Halter, Katherine L Sidener, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|
Award | FINRA | 03/20/2026 |
| 25-00352 | Claimant(s): Steven LeBaron
Claimant Representative(s): Brian R. Luther
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Wendy Thomas
Neutral(s): Robert J. McDonnell, Grant D. Sanders, Allan R. Lazor
Hearing Site: San Diego, CA
|
Award | FINRA | 03/20/2026 |