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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-01221 | Claimant(s): James Libien, Patricia Libien, James and Patricia Libien 2000 Trust
Claimant Representative(s): Matthew Wilson
Respondent(s): Morgan Stanley
Respondent Representative(s): Suzette J. Barnes
Neutral(s): Kenneth Paul Strongman, Della Stein, Ghada Qaisi Audi
Hearing Site: San Francisco, CA
|
Award | FINRA | 07/28/2026 |
| 25-01734 | Claimant(s): Cris Lommel
Claimant Representative(s): Cris Lommel
Respondent(s): Diana Shuman, Morgan Stanley, Ronald Simpson
Respondent Representative(s): Trae D. Meyr
Neutral(s): Lisa Jane Austein, Beverly Hunnewell, Lori Adelson
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/28/2026 |
| 26-00234 | Claimant(s): Vincent Dotterweich
Claimant Representative(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Edward A. Walton
Neutral(s): Andrew M. Mintzer, Jonathan H. Krotinger, Kevin Brodar
Hearing Site: Tampa, FL
|
Award | FINRA | 07/27/2026 |
| 25-01540 | Claimant(s): Andreas Koudellou
Claimant Representative(s): Russell Cirincione
Respondent(s): Chad Allen, Oppenheimer & Co., Inc.
Respondent Representative(s): Donald Corbett
Neutral(s): Nancy Marie Thevenin, Lawrence Williams, Neal K. Stearns
Hearing Site: New York, NY
|
Award | FINRA | 07/27/2026 |
| 25-00597 | Claimant(s): Silvano Ensuncho
Claimant Representative(s): Jennifer Poole Farrar
Respondent(s): HSBC Securities (USA) Inc.
Respondent Representative(s): Kalie M. Maniglia
Neutral(s): Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/24/2026 |
| 25-01825 | Claimant(s): Rajesh Malik
Claimant Representative(s): Rajesh K. Malik
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Nicholas T. Maxwell
Neutral(s): Robert J. Scafuri, Barbara E. Dixon, Robert M. Shwab
Hearing Site: Cleveland, OH
|
Award | FINRA | 07/24/2026 |
| 25-02850 | Claimant(s): Venu Madhav Kailasa
Claimant Representative(s): Venu Madhav Kailasa
Respondent(s): BOFA Securities, Inc.
Respondent Representative(s): Carole G. Miller
Neutral(s): Arthur S. Joseph, Marleen H. Levi, Alice E. Winkler
Hearing Site: New York, NY
|
Award | FINRA | 07/24/2026 |
| 24-02709 | Claimant(s): Cesar Gonzalez
Claimant Representative(s): Laurence M. Landsman
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Michael S. Matek, Richard Lane Miller, John William Kenesey
Hearing Site: Chicago, IL
|
Award | FINRA | 07/24/2026 |
| 25-00257 | Claimant(s): Menachem Pri-Har
Claimant Representative(s): Menachem Pri-Har
Respondent(s): Morgan Stanley, Morgan Stanley, Inc.
Respondent Representative(s): Andrew Joyce
Neutral(s): Andrew M. Schmertz, William Harris Baker, David Mark Goldenberg
Hearing Site: New York, NY
|
Award | FINRA | 07/24/2026 |
| 25-02606 | Claimant(s): David Milowe, Jacqueline Milowe
Claimant Representative(s): Frank Cuccio
Respondent(s): RBC Capital Markets LLC
Respondent Representative(s): Michael E. Rowe
Neutral(s): Madelon M. Rosenfeld, Jane C. Carney, Paul Allan Massaro
Hearing Site: Boston, MA
|
Award | FINRA | 07/23/2026 |
| 24-00497 | Claimant(s): Ameriprise Financial Services, LLC.
Claimant Representative(s): Michael S Taaffe
Respondent(s): Adam Jurewicz, LPL Financial LLC
Respondent Representative(s): David J. Sensenig, Jeffrey K. Compton
Neutral(s): Kenneth R. Starr, Charles L.A. Terreni, Linda L. Maslar
Hearing Site: Columbia, SC
|
Award | FINRA | 07/23/2026 |
| 25-00623 | Claimant(s): Interactive Brokers LLC
Claimant Representative(s): Mark G. Materna
Respondent(s): Adam Robbins
Respondent Representative(s): Adam Robbins
Neutral(s): Jeffrey L. Malek, Walter Steven Schwartz, Wilbur Thomas Eggleston
Hearing Site: Phoenix, AZ
|
Award | FINRA | 07/23/2026 |
| 25-02251 | Claimant(s): Ryan Lacedonia
Claimant Representative(s): Brian R. Luther
Respondent(s): TIAA-CREF Individual & Institutional Services, LLC
Respondent Representative(s): Christopher C. Coss
Neutral(s): Steven N. Ainbinder, Richard E. Lauziere, Stephanie E. Simmons
Hearing Site: Tampa, FL
|
Award | FINRA | 07/23/2026 |
| 26-00269 | Claimant(s): Yewin Thant
Claimant Representative(s): Yewin Thant
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Michael J. Charlillo
Neutral(s): Virginia Alice Suveiu
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/23/2026 |
| 26-00444 | Claimant(s): Ethan Turnbull
Claimant Representative(s): Ethan V. Turnbull
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Arthur Neil Tolciss
Hearing Site: New York, NY
|
Award | FINRA | 07/22/2026 |