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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-00652 | Claimant(s): Marion Deoferio
Claimant Representative(s): Marion Deoferio
Respondent(s): Key Investment Services LLC
Respondent Representative(s): Shannon L. McDougald
Neutral(s): Stephany Adriene Watson, Bruce Winfield Bean, Riya Kuo
Hearing Site: Seattle, WA
|
Award | FINRA | 01/07/2026 |
| 25-01650 | Claimant(s): Heping Zhang
Claimant Representative(s): Heping Zhang
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Meagan B. Koontz
Neutral(s): Sandra L. Malek
Hearing Site: San Diego, CA
|
Award | FINRA | 01/07/2026 |
| 22-01640 | Claimant(s): Jonathan Hendrickson
Claimant Representative(s): Rebecca Hendrickson
Respondent(s): Thrivent Investment Management Inc.
Respondent Representative(s): Jeffrey A. Ziesman
Neutral(s): William A. Barrett, Arthur Lewis Pressman, Christopher Filoon Robertson
Hearing Site: Boston, MA
|
Award | FINRA | 01/06/2026 |
| 25-01151 | Claimant(s): Nolan Chowansky
Claimant Representative(s): Nolan F. Chowansky
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): H Russell Preston, Karl A. Vogeler, James Howell Garrison
Hearing Site: Columbia, SC
|
Award | FINRA | 01/05/2026 |
| 25-01646 | Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Myra C Mormile-Wolper
Respondent(s): Estevan Canales
Respondent Representative(s): Estevan Canales
Neutral(s): Robert Dean McKinley
Hearing Site: Albuquerque, NM
|
Award | FINRA | 01/05/2026 |
| 25-01411 | Claimant(s): Michael Norton
Claimant Representative(s): Gene L. Small
Respondent(s): David Lerner Associates, Inc.
Respondent Representative(s): Allen Holeman
Neutral(s): Michael J. Meeusen, John James McGovern, Ronald Harris Kisner
Hearing Site: New York, NY
|
Award | FINRA | 01/05/2026 |
| 24-02021 | Claimant(s): Richard Belline
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Karen H. Chapman
Neutral(s): Julius Z. Frager, Jeffrey Alan Helewitz, Louis David Huss
Hearing Site: Little Rock, AR
|
Award | FINRA | 01/02/2026 |
| 25-01165 | Claimant(s): Joseph Notarfrancesco
Claimant Representative(s): Peter Lindholm
Respondent(s): Morgan Stanley
Respondent Representative(s): Ryan Parchment
Neutral(s): Thomas J. Dolina, Arocles Aguilar, Gerald M. Levine
Hearing Site: New York, NY
|
Award | FINRA | 01/02/2026 |
| 25-01035 | Claimant(s): Leonardo Costa
Claimant Representative(s): Fabricia Resende
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Morgan K. Johnson
Neutral(s): Anthony Bruno Sanguinetti, Nanci Sondra Landy, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/02/2026 |
| 25-00197 | Claimant(s): Harrison Scollar-Altman, UTMA
Claimant Representative(s): Brook Altman
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Andrew W. Sidman
Neutral(s): Kenneth J. Horowitz, Edward W. Morris, Phillip Michael Brown
Hearing Site: Jersey City, NJ
|
Award | FINRA | 12/30/2025 |
| 24-00406 | Claimant(s): William Martin
Claimant Representative(s): Michele M. Anderson
Respondent(s): Arnold Mcdonald, Rita Mansour, Thomas Mcdonald, Mcdonald Management, LLC, Mcdonald Partners LLC
Respondent Representative(s): Michael J. Charlillo
Neutral(s): Will Murphy, Robert G. Geeseman, Ronald Lawrence Myers
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/30/2025 |
| 25-00725 | Claimant(s): Robert Gargiulo
Claimant Representative(s): Robert Neil Gargiulo
Respondent(s): Jane Donnelly
Respondent Representative(s): Jane Ellen Donnelly
Neutral(s): Denise L. Quarles
Hearing Site: New York, NY
|
Award | FINRA | 12/30/2025 |
| 24-02088 | Claimant(s): Maher Dabbouseh
Claimant Representative(s): Maher Dabbouseh
Respondent(s): Edward Jones
Respondent Representative(s): Steven M. Malina
Neutral(s): Larry Evert Carlson, Raymond P. Buschmann, Thomas Wiegand
Hearing Site: Chicago, IL
|
Award | FINRA | 12/30/2025 |
| 25-01804 | Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Laurie A. Perez
Respondent(s): Richard Panico
Respondent Representative(s): Richard Joseph Panico
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Motion to Vacate | FINRA | 12/30/2025 |
| 25-01804 | Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Laurie A. Perez
Respondent(s): Richard Panico
Respondent Representative(s): Richard Joseph Panico
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Award | FINRA | 12/30/2025 |