| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 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 |
| 23-01141 | Claimant(s): Edward Jones
Claimant Representative(s): Roger P Meyers
Respondent(s): Wells Fargo Clearing Services, LLC, Justin Mackay
Respondent Representative(s): Victor Lee Hayslip
Neutral(s): Daniel Mora, Michael Odom, Douglas Charles Weinstein
Hearing Site: Nashville, TN
|
Award | FINRA | 04/12/2024 |
| 23-01382 | Claimant(s): Gregory Benner
Claimant Representative(s): Peter Lindholm
Respondent(s): Chase Investment Services Corp.
Respondent Representative(s): Heidi E. VonderHeide
Neutral(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
|
Award | FINRA | 04/11/2024 |
| 23-02772 | Claimant(s): Inderpal Anand
Claimant Representative(s): James P. Galvin
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Howard L. Sobel
Hearing Site: New York, NY
|
Award | FINRA | 04/11/2024 |
| 23-01349 | Claimant(s): Peter Armstrong
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Advisors Asset Management, Inc.
Respondent Representative(s): Kevin B. Walker
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Award | FINRA | 04/11/2024 |
| 23-01090 | Claimant(s): Barry Kiront
Claimant Representative(s): John Stewart
Respondent(s): Monroe Parker Securities, Inc., Woodstock Financial Group, Inc.
Respondent Representative(s): Alan Lipsky, William J. Raike
Neutral(s): Veronica Ann Williams
Hearing Site: New York, NY
|
Award | FINRA | 04/11/2024 |
| 23-00446 | Claimant(s): Michael Nolan
Claimant Representative(s): Todd Gutfleisch
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Kevin B. Leblang
Neutral(s): Edward Turner Borer, Paul J. Leis, Peter George Erdely
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/10/2024 |
| 23-01414 | Claimant(s): Frank Briseno, III
Claimant Representative(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|
Award | FINRA | 04/10/2024 |
| 21-01762 | Claimant(s): Melvin Menke
Claimant Representative(s): Bradley D. Schnur
Respondent(s): Richard Coleman, William Brown, Richard James & Associates, Inc.
Respondent Representative(s): Frank Barravechia, Richard James Coleman, William Robert Brown
Neutral(s): Julius Z. Frager
Hearing Site: Louisville, KY
|
Award | FINRA | 04/10/2024 |
| 23-01289 | Claimant(s): David Hancock
Claimant Representative(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Representative(s): Christopher J. Murdoch
Neutral(s): Lita S. Menkin
Hearing Site: Birmingham, AL
|
Award | FINRA | 04/10/2024 |
| 23-02992 | Claimant(s): Douglas Breitenbach
Claimant Representative(s): Michael Davis Hoenig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Laura A. Pizzitola
Neutral(s): Michael L. Fortney
Hearing Site: Cleveland, OH
|
Award | FINRA | 04/10/2024 |
| 23-01375 | Claimant(s): Michael Gregory
Claimant Representative(s): Michael Gregory
Respondent(s): Morgan Stanley
Respondent Representative(s): Peter S. Fruin
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
|
Award | FINRA | 04/10/2024 |
| 23-02773 | Claimant(s): Peter Pavlakis
Claimant Representative(s): Robert W. Pearce
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Greg M. Scanlon
Neutral(s): Annamaria Boccia Smith
Hearing Site: New York, NY
|
Award | FINRA | 04/09/2024 |
| 23-01919 | Claimant(s): Cyrus Desai
Claimant Representative(s): Meher C. Desai
Respondent(s): William Young, Grove Point Investments, LLC
Respondent Representative(s): Garry T. Stevens, Jr., Richard A. D'Amura
Neutral(s): Christopher M. McMurray, Luba Shur, Kiran Nasir Gore
Hearing Site: Washington, DC
|
Award | FINRA | 04/09/2024 |
| 22-01942 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Representative(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Representative(s): Kirsten Patzer
Neutral(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
|
Award | FINRA | 04/09/2024 |
