Award Document | Case Summary | Document Type | Forum | Date of Award |
---|---|---|---|---|
23-02729 | Claimant(s): Charles Suarez-Murias
Claimant Representative(s): Peter Lindholm
Respondent(s): Auriga USA, LLC
Respondent Representative(s): Alex Hendrickson
Neutral(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
|
Award | FINRA | 03/26/2024 |
23-03278 | Claimant(s): Marianne Kuhlow
Claimant Representative(s): Michael J. Betts
Respondent(s): Alexander Hall, Fidelity Brokerage Services LLC
Respondent Representative(s): Noah D. Sorkin
Hearing Site: Cleveland, OH
|
Award | FINRA | 03/26/2024 |
23-03278 | Claimant(s): Marianne Kuhlow
Claimant Representative(s): Michael J. Betts
Respondent(s): Alexander Hall, Fidelity Brokerage Services LLC
Respondent Representative(s): Joel M. Everest, Noah D. Sorkin
Neutral(s): Linda Arlene Michler
Hearing Site: Cleveland, OH
|
Award | FINRA | 03/26/2024 |
23-01418 | Claimant(s): Scott Meyer
Claimant Representative(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Representative(s): Eleonora Yonge
Neutral(s): Harvey R. Linder
Hearing Site: Atlanta, GA
|
Award | FINRA | 03/25/2024 |
22-02572 | Claimant(s): Emma Ward
Claimant Representative(s): Scott L. Silver
Respondent(s): PHX Financial, Inc.
Respondent Representative(s): Michael P. Gilmore
Neutral(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/25/2024 |
23-00932 | Claimant(s): Angel Canabal
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Vélez
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 03/25/2024 |
23-02937 | Claimant(s): Candida Bobonis Roig, Dario Ochoa Garcia, Franco Fullana, Lizzette Bobonis Roig
Claimant Representative(s): David I. Hantman
Respondent(s): Santander Securities LLC
Respondent Representative(s): Sara L. Velez Santiago
Neutral(s): Howard N. Gorney
Hearing Site: Boston, MA
|
Award | FINRA | 03/25/2024 |
23-01176 | Claimant(s): Matthew Larson
Claimant Representative(s): Craig A. Riha
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Katelyn H. Wilson
Neutral(s): Anna M. Fanelli
Hearing Site: New York, NY
|
Award | FINRA | 03/22/2024 |
23-01537 | Claimant(s): Hector Crespo
Claimant Representative(s): Thomas McEvoy
Respondent(s): NewBridge Securities Corp.
Respondent Representative(s): Gregg J. Breitbart
Neutral(s): Steven Gary Leventhal
Hearing Site: New York, NY
|
Award | FINRA | 03/22/2024 |
23-01538 | Claimant(s): Hector Crespo
Claimant Representative(s): Thomas McEvoy
Respondent(s): NewBridge Securities Corp.
Respondent Representative(s): Gregg J. Breitbart
Neutral(s): Gerald M. Levine
Hearing Site: New York, NY
|
Award | FINRA | 03/22/2024 |
23-01609 | Claimant(s): Dawne Ferland
Claimant Representative(s): Louis H. Miron
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Jeffery D. Rodgers
Neutral(s): Barry Goldman, Kyle E Higgason, John G Banner
Hearing Site: Cincinnati, OH
|
Award | FINRA | 03/22/2024 |
22-02150 | Claimant(s): Alfredo Serrano, Daniel Raupp, Gary Phelps, Henry Enno, Manfred Hegwer, Scott Weissman, Thomas Bruce
Claimant Representative(s): Alan L. Rosca
Respondent(s): Morgan Stanley
Respondent Representative(s): Meaghan VerGow
Neutral(s): Caroline N. Harney, Allen Greenberg, Mark W Solock
Hearing Site: Chicago, IL
|
Award | FINRA | 03/22/2024 |
23-01221 | Claimant(s): William Ryan
Claimant Representative(s): Michael Bessette
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Mark A. Pratzel
Neutral(s): Robert J. Gregory
Hearing Site: Dallas, TX
|
Award | FINRA | 03/22/2024 |
23-01117 | Claimant(s): Saimir Prapaniku
Claimant Representative(s): William Bean
Respondent(s): Invest Financial Corporation, U.S. Bancorp Investments, Inc.
Respondent Representative(s): Briana Al Taqatqa, Eric A. Michaels
Neutral(s): Sandra L. Malek, Marc S. Joseph, Olivia J. Valentine
Hearing Site: Los Angeles, CA
|
Award | FINRA | 03/22/2024 |
23-02197 | Claimant(s): Robert Crothers
Claimant Representative(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs., Inc
Respondent Representative(s): Craig Vollono
Neutral(s): John Franklin Udochi
Hearing Site: New York, NY
|
Award | FINRA | 03/21/2024 |