| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01570 | Claimant(s): Douglas Eglington
Claimant Representative(s): Douglas Eglington
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Heather Cooper
Neutral(s): Lee Milich
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/08/2024 |
| 23-02358 | Claimant(s): Jonathan French
Claimant Representative(s): Zack Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Representative(s): Darol K. Paulsen
Neutral(s): Constance Ellen Boukidis, Kirtley M. Thiesmeyer, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/08/2024 |
| 23-00395 | Claimant(s): Ve Ngo
Claimant Representative(s): Emahn Counts
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Noah D. Sorkin
Neutral(s): Steven Gourley
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/08/2024 |
| 23-01519 | Claimant(s): Stephen Ridge
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Elena D. Marcuss
Neutral(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
|
Award | FINRA | 04/08/2024 |
| 23-02834 | Claimant(s): Melissa Devolve
Claimant Representative(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Katelyn H. Wilson
Neutral(s): Michael J Norton
Hearing Site: Denver, CO
|
Award | FINRA | 04/08/2024 |
| 23-01489 | Claimant(s): Maurice Acriche
Claimant Representative(s): Harris Freedman
Respondent(s): Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok
Neutral(s): Michele S. Riley
Hearing Site: New York, NY
|
Award | FINRA | 04/05/2024 |
| 22-02847 | Claimant(s): Lorenzo Bettino
Claimant Representative(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): David L. Goldberg
Neutral(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux
Hearing Site: Denver, CO
|
Award | FINRA | 04/05/2024 |
| 23-02658 | Claimant(s): Tyson Lewis
Claimant Representative(s): Peter Lindholm
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Deirdre Wolff
Neutral(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/05/2024 |
| 21-02925 | Claimant(s): Michael Shular
Claimant Representative(s): Moshe Y. Singer
Respondent(s): James Stuart, Richfield Orion International, Inc.
Respondent Representative(s): James Brett Stuart
Neutral(s): Mark A. Myers, Kenneth R. Starr, Avery B. Goodman
Hearing Site: Nashville, TN
|
Award | FINRA | 04/05/2024 |
| 23-01419 | Claimant(s): Thomas Mccausland
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets, Inc., RBC Capital Markets LLC
Respondent Representative(s): Adam M. Kauff, Samuel F.B. Audley
Neutral(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|
Award | FINRA | 04/05/2024 |
| 23-01437 | Claimant(s): Ellice Papp
Claimant Representative(s): Harris Freedman
Respondent(s): Prudential Equity Group, LLC, Lehman Brothers Inc
Respondent Representative(s): Christopher K. Kiplok, Jennifer E. Novoselsky
Neutral(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/05/2024 |
| 22-01717 | Claimant(s): Jeffrey Sikirica, Chapter 7, Melvin Pirchesky
Claimant Representative(s): Michael J. Betts
Respondent(s): Joanne Park, Keith Moore, Boustead Securities, LLC
Respondent Representative(s): Jason L. Ott
Neutral(s): Peter Glasser, Mark K. Gubinsky, Louis Charles Schmitt
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 04/04/2024 |
| 19-02942 | Claimant(s): Edna Angeli
Claimant Representative(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Eric Ross Cromartie, Ross B. Russell, Rayner Mathias Bettendorf
Hearing Site: San Juan, PR
|
Award | FINRA | 04/04/2024 |
| 23-01028 | Claimant(s): Scott Namowicz
Claimant Representative(s): Bryan L. Tyson
Respondent(s): Sallie Larsen, LPL Financial Holdings Inc. Severance
Respondent Representative(s): Roger Scruggs
Neutral(s): Richard H. Potter, David M. Pierce, Daniel F. Piar
Hearing Site: Charlotte, NC
|
Award | FINRA | 04/04/2024 |
| 23-00643 | Claimant(s): Alban Wilson
Claimant Representative(s): Barry R. Lax
Respondent(s): Ron Itin, Shaun Grimaldi, E1 Asset Management, Inc.
Respondent Representative(s): Jonathan Uretsky
Neutral(s): David Sorokoff, Albert Rizzo, Kevin Marcus-Kanesaka
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
