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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02164 | Claimant(s): Matthew Buchsbaum
Claimant Representative(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Lynne M. Reid-McQueen, Carl F. Bowmer, Thomas R. Bromberg
Hearing Site: New York, NY
|
Award | FINRA | 01/29/2026 |
| 25-01094 | Claimant(s): Matthew Stangl, Morgan Stangl
Claimant Representative(s): Theodore J, Waldeck
Respondent(s): Adam Phillipich, Equitable Advisors, LLC
Respondent Representative(s): Peter J. McElligott
Neutral(s): Peter N. Thompson, Leo G. Stern, Frank Abramson
Hearing Site: Minneapolis, MN
|
Award | FINRA | 01/28/2026 |
| 25-00834 | Claimant(s): David Gilchrist
Claimant Representative(s): Peter Lindholm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): Douglas Earl McLaren, Gregory Hunter Mathews, Thomas J. Dolina
Hearing Site: Los Angeles, CA
|
Award | FINRA | 01/28/2026 |
| 24-01085 | Claimant(s): Barbara McFall, Jacqueline Kunreuther, Jean Anastasio, Louise French, George and Evelyn Brennan, John and Frances Serdjuk, Jon and Pamela Hopkins, Michelina and Antonio Mazzarelli, Modestino and Diane Perugini, Patrick and Dianne Accetta
Claimant Representative(s): Aaron Israels
Respondent(s): James McArthur, Vincent Camarda, A.G. Morgan Financial Advisors, LLC
Respondent Representative(s): James Edward McArthur, Vincent Jerome Camarda
Neutral(s): John J. Mager, Nancy Wiegers Greenwald, Michael S McKenna
Hearing Site: Hartford, CT
|
Award | FINRA | 01/28/2026 |
| 25-00911 | Claimant(s): Avigail Rosemore
Claimant Representative(s): Timothy Cronin Lynch
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Jane C. Carney, Edward W. Morris, Fern M. Laethem
Hearing Site: Baltimore, MD
|
Award | FINRA | 01/28/2026 |
| 24-02630 | Claimant(s): Ava Arjmand
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Anthony DellaSala
Neutral(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
|
Award | FINRA | 01/27/2026 |
| 25-02100 | Claimant(s): Thomas Bills
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Timothy Gardner
Respondent Representative(s): Timothy James Gardner
Neutral(s): John James McGovern
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 01/27/2026 |
| 24-01769 | Claimant(s): Kevin Block
Claimant Representative(s): Wilmer D. Masterson
Respondent(s): National Financial Services LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Mary Elizabeth Skelnik, Elizabeth Aten Lamberson, Ye Whei Peter Chen
Hearing Site: Dallas, TX
|
Award | FINRA | 01/26/2026 |
| 25-00343 | Claimant(s): Douglas Frank
Claimant Representative(s): Daniel J. Donovan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Mark A. Myers, Cheryl H. Agris, Robert G. Falbisaner
Hearing Site: Los Angeles, CA
|
Award | FINRA | 01/26/2026 |
| 25-00792 | Claimant(s): Ernest Stiba
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Lion Street Financial, LLC
Respondent Representative(s): Benjamin J. Biard
Neutral(s): Herb Schwartz, John J. Mager, Carol Maria Luttati
Hearing Site: Dallas, TX
|
Award | FINRA | 01/23/2026 |
| 25-01310 | Claimant(s): Federico Carassus, Francisco Carassus
Claimant Representative(s): Coren H. Stern
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Sara Soto
Neutral(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/23/2026 |
| 25-01437 | Claimant(s): William Dendy
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Michael L. Lyons, Peter N. Thompson, Mary E. Woytek
Hearing Site: Dallas, TX
|
Award | FINRA | 01/23/2026 |
| 24-02546 | Claimant(s): Michele White
Claimant Representative(s): Michele R. White
Respondent(s): Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): David A. Schuler, Peter Joseph McGee, Eric Ross Cromartie
Hearing Site: Oklahoma City, OK
|
Award | FINRA | 01/23/2026 |
| 25-00666 | Claimant(s): Juliana Hadawi
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): Goldman Sachs & Co. LLC
Respondent Representative(s): Alexandra H. Stathopoulos
Neutral(s): Jonathan H. Krotinger, Ralph L. Jacobson, Bryan Edward Repetto
Hearing Site: San Francisco, CA
|
Award | FINRA | 01/23/2026 |
| 25-00105 | Claimant(s): Morgan Stanley
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Morgan Feliz
Respondent Representative(s): Morgan A. Feliz
Neutral(s): Sandra J. Mullings
Hearing Site: New York, NY
|
Award | FINRA | 01/23/2026 |