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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02387 | Claimant(s): Michael D'Andrea
Claimant Representative(s): Craig A. Riha
Respondent(s): Sovereign Global Advisors, LLC
Respondent Representative(s): John Dragotta
Neutral(s): Michael H. DuBoff, Gloria O. North, Brian John Gallagher
Hearing Site: New York, NY
|
Award | FINRA | 05/14/2026 |
| 26-00327 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): William McC. Montgomery
Respondent(s): Jim Dedmon
Respondent Representative(s): Jim Carl Dedmon
Neutral(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|
Award | FINRA | 05/14/2026 |
| 23-02269 | Claimant(s): Quantum-Si Incorporated
Claimant Representative(s): Thomas J. Finn
Respondent(s): Eric Diamond, Jason Wagoner, Kelly Johnston, Kerry Pope, Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs
Respondent Representative(s): T. Peter R. Pound
Neutral(s): Ted M. Rosen, Kent L. Benziger, S. Christopher Provenzano
Hearing Site: New York, NY
|
Award | FINRA | 05/14/2026 |
| 24-00869 | Claimant(s): Matthew Lightbody
Claimant Representative(s): Daniel D' Costa
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Mari C. Bush, Gregory G. Gocek, Matthew R. Cloutier
Hearing Site: Denver, CO
|
Award | FINRA | 05/14/2026 |
| 25-00211 | Claimant(s): Mark Rose
Claimant Representative(s): Mark D. Rose
Respondent(s): Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): David L. Ruderman, Lorrie E Whitfield, Christopher Koller
Hearing Site: Wilmington, DE
|
Award | FINRA | 05/14/2026 |
| 25-01015 | Claimant(s): Nathan McCann
Claimant Representative(s): Nathan W. McCann
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Morgan K. Johnson
Neutral(s): Glenn J. Hansen, Mary S. Wyatte, Thomas E. Kopil
Hearing Site: Philadelphia, PA
|
Award | FINRA | 05/14/2026 |
| 25-00442 | Claimant(s): James Tuberosa
Claimant Representative(s): Owen Harnett
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Nicole D. Newlon
Neutral(s): Stuart Sinai, Susan S. Bentley, John Frank Bauder
Hearing Site: Tampa, FL
|
Award | FINRA | 05/13/2026 |
| 24-01093 | Claimant(s): Mengying Huang
Claimant Representative(s): Jenice Malecki
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade, Inc.
Respondent Representative(s): Diana Tabacopoulos
Neutral(s): Pamela Jane Koslow, Marie Ann Stein, Maggie Soleimani
Hearing Site: Los Angeles, CA
|
Award | FINRA | 05/13/2026 |
| 25-01133 | Claimant(s): Megan Palazzo, Quentin Robb
Claimant Representative(s): Kristian Kraszewski
Respondent(s): Brad Myers, David James, John Shumski, Transitional Broker LLC
Respondent Representative(s): Christopher M. Von Maack
Neutral(s): Thomas R. Bromberg, Leonard M. Goldstein, Anthony Michael Panek
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 05/13/2026 |
| 25-01345 | Claimant(s): Spartan Capital Securities, LLC
Claimant Representative(s): Owen A. Kloter
Respondent(s): TC BioPharm Holdings PLC
Respondent Representative(s): Bryan Kobel
Neutral(s): Jason Scott Eveleth, Loretta Yin, Albert Rizzo
Hearing Site: New York, NY
|
Award | FINRA | 05/13/2026 |
| 25-00101 | Claimant(s): Estate of Rosalie Lizanich, David & Margaret Moeller
Claimant Representative(s): Philip Vujanov
Respondent(s): David Toetz, Thomas Scheiman, Independence Capital Co., Inc.
Respondent Representative(s): Christopher M. Corrigan
Neutral(s): John W. Eichleay, Ronald Edward Alexander, David M. Benson
Hearing Site: Cleveland, OH
|
Motion to Vacate | FINRA | 05/13/2026 |
| 25-00101 | Claimant(s): Estate of Rosalie Lizanich, David & Margaret Moeller
Claimant Representative(s): Philip Vujanov
Respondent(s): David Toetz, Thomas Scheiman, Independence Capital Co., Inc.
Respondent Representative(s): Christopher M. Corrigan
Neutral(s): John W. Eichleay, Ronald Edward Alexander, David Benson
Hearing Site: Cleveland, OH
|
Award | FINRA | 05/13/2026 |
| 25-00322 | Claimant(s): Samuel A. Till, Jr. IRA, Samuel A. Till, Jr. SEP IRA, Sue Ann Till IRA, Sue Ann Till SEP IRA
Claimant Representative(s): Steven D. Toskes
Respondent(s): J. P. Turner & Company LLC, Summit Brokerage Service, Inc.
Respondent Representative(s): Benjamin J. Biard
Neutral(s): Richard Carl Smukler, Robert G. Geeseman, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
|
Award | FINRA | 05/12/2026 |
| 25-01456 | Claimant(s): Bahram Kashan
Claimant Representative(s): Bahram G. Kashan
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Robert J. Scafuri, Sandra Mendel Furman, Robert S Hendricks
Hearing Site: Columbus, OH
|
Award | FINRA | 05/12/2026 |
| 25-02755 | Claimant(s): Ethan King
Claimant Representative(s): Ethan King
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Minnie Loo
Hearing Site: Helena, MT
|
Award | FINRA | 05/12/2026 |