| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01022 | Claimant(s): Samuel Wyman
Claimant Representative(s): Craig A. Riha
Respondent(s): Advest, Inc.
Respondent Representative(s): Katelyn H. Wilson
Neutral(s): Josian Antoine, Beth Ann Haddock, Edmund Timothy Donovan
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-02907 | Claimant(s): Matthew Adrian
Claimant Representative(s): Everett Pritchard
Respondent(s): OSAIC Wealth, Inc
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Anita Rae Shapiro
Hearing Site: Denver, CO
|
Award | FINRA | 04/03/2024 |
| 23-02803 | Claimant(s): Leslie Rosenblatt
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): WFG Investments, Inc.
Respondent Representative(s): David Williams
Neutral(s): Frances Johnson Wright
Hearing Site: Dallas, TX
|
Award | FINRA | 04/03/2024 |
| 23-02557 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Representative(s): Christopher J. Murdoch
Respondent(s): Leibish Schwartz
Respondent Representative(s): Leibish Schwartz
Neutral(s): Michael S. Lazan
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-03017 | Claimant(s): Neil Klein
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): John Franklin Udochi
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-00552 | Claimant(s): Matthew Jung
Claimant Representative(s): Christopher H. Tovar
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Angelina T. Evans
Neutral(s): Rosa Linda Guadarrama
Hearing Site: San Diego, CA
|
Award | FINRA | 04/03/2024 |
| 23-03011 | Claimant(s): Loren Weiss
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Nancy Kramer
Hearing Site: New York, NY
|
Award | FINRA | 04/03/2024 |
| 23-02832 | Claimant(s): Richard Skelton
Claimant Representative(s): Chad Weaver
Respondent(s): Woodbury Financial Services, Inc.
Respondent Representative(s): Jennifer R. Cox
Neutral(s): Michael Harrison
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/02/2024 |
| 23-01156 | Claimant(s): Cynthia Couyoumjian
Claimant Representative(s): Michael Bessette
Respondent(s): LPL Financial LLC, First Allied Securities, Inc.
Respondent Representative(s): Jeremy Wooden, Kelsey L. Vasko
Neutral(s): Robert Rosen
Hearing Site: Los Angeles, CA
|
Award | FINRA | 04/02/2024 |
| 23-02306 | Claimant(s): Timothy Derouin
Claimant Representative(s): Patrick E. Brookhouser
Respondent(s): Northwestern Mutual Investment Services,
Respondent Representative(s): Clarke C. Greene
Neutral(s): Leah Murray Albert, Phyllis Karasov, Danielle L. Anderson
Hearing Site: Des Moines, IA
|
Award | FINRA | 04/02/2024 |
| 23-02923 | Claimant(s): Jaime Toro Lavergne
Claimant Representative(s): Nathan W. Lamb
Respondent(s): Popular Securities, LLC.
Respondent Representative(s): Mariela M. Ramírez-Morales
Neutral(s): Steven Gerard Goerke
Hearing Site: San Juan, PR
|
Award | FINRA | 04/02/2024 |
| 23-02651 | Claimant(s): James Goodwin
Claimant Representative(s): James J. Goodwin
Respondent(s): Interactive Brokers Corp., Interactive Brokers LLC
Respondent Representative(s): Katherine L. Schuerman
Neutral(s): B. John Dill
Hearing Site: Providence, RI
|
Award | FINRA | 04/01/2024 |
| 23-00093 | Claimant(s): Fady Sorial, Ramy Sorial
Claimant Representative(s): Fady G. Sorial
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Jonathan J. Brennan
Neutral(s): Howard L. Sobel, Mitchell Regenbogen, Laura Matlow Wong-Pan
Hearing Site: New York, NY
|
Award | FINRA | 04/01/2024 |
| 23-00093 | Claimant(s): Fady Sorial, Ramy Sorial
Claimant Representative(s): Fady G. Sorial
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Jonathan J. Brennan
Neutral(s): Howard L. Sobel, Mitchell Regenbogen, Laura Matlow Wong-Pan
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 04/01/2024 |
| 23-00040 | Claimant(s): Mark Kolta
Claimant Representative(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Worden Capital Management LLC, Aegis Capital Corp.
Respondent Representative(s): Daniel Scott Furst, Emily A. Hayes, Jamie J. Worden
Neutral(s): Cheryl H. Agris, John Clark Van Steen, Susan Romano
Hearing Site: New York, NY
|
Award | FINRA | 03/29/2024 |
