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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02011 | Claimant(s): Jack Riley
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Keely D. Parr, Morton S. Bunis, Theresa Joan Rosenberg
Hearing Site: Jersey City, NJ
|
Award | FINRA | 01/22/2026 |
| 25-01486 | Claimant(s): Timothy Wheeler
Claimant Representative(s): Christopher H. Tovar
Respondent(s): Northwestern Mutual Investment Services,
Respondent Representative(s): Stefan R. Dandelles
Neutral(s): Robert J. Scafuri, Timothy Lawrence Van Eman, Thomas A Orchard
Hearing Site: Columbus, OH
|
Award | FINRA | 01/21/2026 |
| 25-00897 | Claimant(s): Andrew Lerner, Jeri Lerner
Claimant Representative(s): David C. Silver
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Mark T. Drooks
Neutral(s): Brian James Tagtmeier, Lisa Lemons, Marguerite Gabriele
Hearing Site: Houston, TX
|
Award | FINRA | 01/21/2026 |
| 25-00281 | Claimant(s): Ellen Sadur
Claimant Representative(s): Jeff Sadur
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Vincent P. (Trace) Schmeltz
Neutral(s): Mark L Miller
Hearing Site: Chicago, IL
|
Award | FINRA | 01/20/2026 |
| 23-02674 | Claimant(s): Kevin Tamlyn
Claimant Representative(s): Kevin Kingsley Tamlyn
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): John Murphy, Shruti Jaishankar
Neutral(s): Susanne J. Hollander
Hearing Site: Chicago, IL
|
Award | FINRA | 01/20/2026 |
| 23-01097 | Claimant(s): Joao Bastos
Claimant Representative(s): James P. Galvin
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam Kauff
Neutral(s): Mark A. Bilawsky
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/20/2026 |
| 25-01425 | Claimant(s): Paul Morehouse
Claimant Representative(s): Peter Lindholm
Respondent(s): Cetera Wealth Services, LLC
Respondent Representative(s): Brett Asa
Neutral(s): Geoffrey A. Drucker, John Russell Barlow, Matthew Stephen Duchesne
Hearing Site: Albany, NY
|
Award | FINRA | 01/20/2026 |
| 25-00791 | Claimant(s): Daniel Gardner
Claimant Representative(s): Alex Padla
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Eric A. Michaels
Neutral(s): Gregory Hunter Mathews, Donald Dreyfus, Howard Alan Grinsberg
Hearing Site: Detroit, MI
|
Award | FINRA | 01/20/2026 |
| 24-01607 | Claimant(s): Trent White
Claimant Representative(s): Patrick Mahoney
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Esther E. Cho
Neutral(s): Tracy L. Allen, Donald Dreyfus, Thomas R. Bromberg
Hearing Site: Phoenix, AZ
|
Award | FINRA | 01/15/2026 |
| 25-01774 | Claimant(s): Darcy Dahl
Claimant Representative(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Representative(s): Andrew Joyce
Neutral(s): Jeff Kilgore, Vincent S. Mezinko, Lawrence R. Mills
Hearing Site: Minneapolis, MN
|
Award | FINRA | 01/15/2026 |
| 24-01856 | Claimant(s): Althonia Small, Arnold Merriweather, Callie Merriweather, Cheryl Stacy, Danny Jackson, Gladys Jackson, H. Buerkle, Jackie Simmons, Jennie Robinson, Joseph Smith, Sue Mitchell, Suzanne Simmons
Claimant Representative(s): Michael C. Bixby
Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): Neil S. Baritz
Neutral(s): Kenrick Albert Pratt, Theodore Hornoi-Centerwall, Fidel Iglesias
Hearing Site: Jacksonville, FL
|
Award | FINRA | 01/15/2026 |
| 23-01759 | Claimant(s): Albert Newton, Tina Newton, IRA of Albert A. Newton
Claimant Representative(s): Douglas A. Vonderhaar
Respondent(s): Jerod Tilton, U.S. Bancorp Investments, Inc.
Respondent Representative(s): Michael J. Charlillo
Neutral(s): Peter Ordower, Jeffrey M. Bain, Lynn Hirschfeld Brahin
Hearing Site: Columbus, OH
|
Award | FINRA | 01/14/2026 |
| 25-00552 | Claimant(s): Michael Mattison
Claimant Representative(s): Jennifer Cox
Respondent(s): Centaurus Financial, Inc.
Respondent Representative(s): Michael J. Carey
Neutral(s): Donald Dreyfus, Sidney J. Wartel, Howard Alan Grinsberg
Hearing Site: Washington, DC
|
Award | FINRA | 01/14/2026 |
| 25-00369 | Claimant(s): Dennis Askari
Claimant Representative(s): Younes Mohseni
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Sara Soto
Neutral(s): Francis Xavier Sexton
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/14/2026 |
| 25-01652 | Claimant(s): Adrienn Braun Mazzucatelli
Claimant Representative(s): Adrienn E. Braun
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Jay Alan Kranis
Hearing Site: Jersey City, NJ
|
Award | FINRA | 01/13/2026 |