| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 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 |
| 23-01849 | Claimant(s): Brian Hagen
Claimant Representative(s): James P. Galvin
Respondent(s): Concourse Financial Group Securities
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Michael S. Yauch
Hearing Site: Houston, TX
|
Award | FINRA | 04/18/2024 |
| 23-03040 | Claimant(s): Michael Depasquale
Claimant Representative(s): James P. Galvin
Respondent(s): M Holdings Securities, Inc., Nationwide Securities, LLC
Respondent Representative(s): Daniela Paez, Jason D. Christian
Neutral(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/18/2024 |
| 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 |
| 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 |
| 23-00170 | 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 |
| 23-02872 | Claimant(s): David Peyser
Claimant Representative(s): Stephan Louviere
Respondent(s): PNC Investments
Respondent Representative(s): Robert S. Whitman
Neutral(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/12/2024 |
| 23-01057 | Claimant(s): Michael Lombardi
Claimant Representative(s): Alan S. Baskin
Respondent(s): David Sherwood, Greenberg Financial Group
Respondent Representative(s): Rachel K. Douglas
Neutral(s): Richard Kent Mahrle
Hearing Site: Phoenix, AZ
|
Award | FINRA | 04/12/2024 |
| 21-02824 | Claimant(s): Charlie Meredith
Claimant Representative(s): David A. Welling
Respondent(s): Morgan Stanley, Morgan Stanley & Co., LLC
Respondent Representative(s): John P. Kincade
Neutral(s): Mark R. Lee, Gene S. Evenskaas, Randall B Christison
Hearing Site: San Diego, CA
|
Award | FINRA | 04/12/2024 |
| 23-02514 | Claimant(s): Marcia Hardy
Claimant Representative(s): Marcia L. Hardy
Respondent(s): Abacus Investments, Inc.
Respondent Representative(s): Frederick E. Hohensee
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
|
Award | FINRA | 04/12/2024 |
