| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01143 | Claimant(s): Elizabeth Stancil
Claimant Representative(s): Dochtor Kennedy
Respondent(s): First Citizens Investor Services, Inc.
Respondent Representative(s): Kyle A. Owens
Neutral(s): Ian S. Greig
Hearing Site: Raleigh, NC
|
Award | FINRA | 04/18/2024 |
| 23-02977 | Claimant(s): Daniel Klemm
Claimant Representative(s): Anthony Paduano
Respondent(s): Centaurus Financial, Inc.
Respondent Representative(s): Michael J. Carey
Neutral(s): Harvey R. Linder
Hearing Site: Columbia, SC
|
Award | FINRA | 04/18/2024 |
| 23-02652 | Claimant(s): Joseph Silich
Claimant Representative(s): Bruce Lewitas
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Susanne J. Hollander, Felice Janine Batlan, Adrienne Michelle Adams
Hearing Site: Chicago, IL
|
Award | FINRA | 04/18/2024 |
| 23-02521 | Claimant(s): Ernesto Angueira
Claimant Representative(s): Benjamin J. Biard
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Paul A. Holmes, Louis David Huss, Gregg William McClosky
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/18/2024 |
| 23-02956 | Claimant(s): Tatyana Bunich
Claimant Representative(s): Robert Moses
Respondent(s): Independent Financial Group, LLC.
Respondent Representative(s): Sarah J. Kreisman
Neutral(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
|
Award | FINRA | 04/18/2024 |
| 23-00929 | Claimant(s): Sonia Pou Monagas
Claimant Representative(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Velez
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 04/18/2024 |
| 21-02684 | Claimant(s): Steve Kramer
Claimant Representative(s): Brandon Dei
Respondent(s): Michael Finnan, Morgan Wilshire Securities, Inc.
Respondent Representative(s): Michael John Finnan
Neutral(s): Kendall C. Reed, Rick Gale Doty, Kimberly Johnson
Hearing Site: Denver, CO
|
Award | FINRA | 04/17/2024 |
| 23-02331 | Claimant(s): Mark Frederick
Claimant Representative(s): Brian Luther
Respondent(s): First Allied Securities, Inc.
Respondent Representative(s): Jeremy Wooden
Neutral(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/17/2024 |
| 22-02894 | Claimant(s): Peggy Hedgren
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): Edward Jones
Respondent Representative(s): Donald R. Littlefield
Neutral(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares
Hearing Site: Houston, TX
|
Award | FINRA | 04/17/2024 |
| 22-01836 | Claimant(s): Bula Land Trucking LLC C/O Eugene Bula
Claimant Representative(s): David B. Vermont
Respondent(s): Stephen Marek, Joseph Gunnar & Co. LLC
Respondent Representative(s): John E. Lawlor
Neutral(s): Mark A. Frankel, Mark Richard Cummisford, Nathaniel Cade
Hearing Site: Milwaukee, WI
|
Award | FINRA | 04/17/2024 |
| 23-00170 | Claimant(s): David Pogorelc
Claimant Representative(s): Christopher J. Major
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Andrew J. Melnick
Neutral(s): Howard N. Gorney, Jeff Spears, Stephen James McLaughlin
Hearing Site: Boston, MA
|
Award | FINRA | 04/16/2024 |
| 23-01738 | Claimant(s): Qi Wen
Claimant Representative(s): William Bean
Respondent(s): Jefferies LLC
Respondent Representative(s): Andrew Shapren
Neutral(s): John Warner Lowe
Hearing Site: New York, NY
|
Award | FINRA | 04/16/2024 |
| 21-03053 | Claimant(s): Santa Rosa Rancheria Tachi Yokut Tribe
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Esther E. Cho
Neutral(s): Joseph Alfred Davis, Robert Rosen, Robert B. Hansohn
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/16/2024 |
| 23-01937 | Claimant(s): Donald Laurence
Claimant Representative(s): Stephan Louviere
Respondent(s): Hilltop Securities Inc.
Respondent Representative(s): David M. Clem
Neutral(s): Sherry R. Wetsch
Hearing Site: Houston, TX
|
Award | FINRA | 04/15/2024 |
| 23-00027 | Claimant(s): McNaught Family Irrevocable Trust, Sharon Coan, Trustee
Claimant Representative(s): R. Sean McDonald
Respondent(s): Chad Carroll, Edward Jones
Respondent Representative(s): Donald R. Littlefield
Neutral(s): John Kenneth Popham
Hearing Site: Dallas, TX
|
Award | FINRA | 04/12/2024 |
