For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-02089 | Claimant(s): Sonia Attkiss
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Martin L. Feinberg, Joseph J. Dougherty, Peter D. Steinbroner
Hearing Site: New York, NY
|
Award | FINRA | 12/29/2025 |
| 23-02186 | Claimant(s): Carminda Bouvier, Carminda Bouvier on behalf of her IRAs
Claimant Representative(s): Brandon S. Reif
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Eugene L. Small
Neutral(s): Jonathan H. Krotinger, Ralph L. Jacobson, Herbert Siegfried Emmrich
Hearing Site: San Francisco, CA
|
Award | FINRA | 12/26/2025 |
| 25-00712 | Claimant(s): Kestra Financial, Inc., Kestra Investment Services, LLC
Claimant Representative(s): Lydia R. Zaidman
Respondent(s): James Eddins II
Respondent Representative(s): James Francis Eddins
Neutral(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|
Award | FINRA | 12/24/2025 |
| 25-00626 | Claimant(s): Timothy Roberson
Claimant Representative(s): Alex Padla
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Nicholas John Taldone, Steven R. Rolnick, Mary C. Davis
Hearing Site: Nashville, TN
|
Award | FINRA | 12/24/2025 |
| 25-01561 | Claimant(s): Raymond James & Associates, Inc.
Claimant Representative(s): Todd Ratner
Respondent(s): Kevin Laurie
Respondent Representative(s): Kevin D. Laurie
Neutral(s): Carol Maria Luttati
Hearing Site: New York, NY
|
Award | FINRA | 12/24/2025 |
| 25-01063 | Claimant(s): Debra Peterson
Claimant Representative(s): Steven M. Sitek
Respondent(s): Morgan Stanley
Respondent Representative(s): Marisa Gomez
Neutral(s): Frederick Ramos
Hearing Site: Minneapolis, MN
|
Award | FINRA | 12/23/2025 |
| 25-01128 | Claimant(s): Bruce Zipper
Claimant Representative(s): Bruce Zipper
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Sara Soto
Neutral(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/23/2025 |
| 19-02094 | Claimant(s): Randall Baskin
Claimant Representative(s): Eugene N. Bulso
Respondent(s): James Nichols, UBS Financial Services Inc.
Respondent Representative(s): George D. Sullivan
Neutral(s): Michael J. Ahlstrom, Mauricio Arcadier, Karin Marie Paparelli
Hearing Site: Nashville, TN
|
Award | FINRA | 12/23/2025 |
| 25-00624 | Claimant(s): Robert Tobin
Claimant Representative(s): Robert J. Tobin
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Christopher F. Robertson
Neutral(s): Susanne J. Hollander
Hearing Site: Chicago, IL
|
Award | FINRA | 12/19/2025 |
| 23-00457 | Claimant(s): Mark Rosenberg, Mark William Rosenberg Liv Trust
Claimant Representative(s): Melinda Jane Steuer
Respondent(s): Morgan Stanley, Robert Newman
Respondent Representative(s): Anthony Valenzuela
Neutral(s): Barbara M. Zak, Larry Bumgardner, Jason Dy
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/19/2025 |
| 24-01711 | Claimant(s): Dina Steiner, Marianne Steiner
Claimant Representative(s): Steven D. Toskes
Respondent(s): Arete Wealth Management, LLC
Respondent Representative(s): Gregg J. Breitbart
Neutral(s): Nicholes W. Ghnouly, Mark T Risner, Andrew W. Levin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/19/2025 |
| 25-00318 | Claimant(s): Myles Oliver
Claimant Representative(s): Alex Padla
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I Hantman
Neutral(s): Barbara Black
Hearing Site: Raleigh, NC
|
Award | FINRA | 12/19/2025 |
| 25-01612 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Michael Robinson
Respondent Representative(s): Michael Robinson
Neutral(s): Charles E. White
Hearing Site: Atlanta, GA
|
Motion to Vacate | FINRA | 12/18/2025 |
| 25-01612 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Michael Robinson
Respondent Representative(s): Michael Robinson
Hearing Site: Atlanta, GA
|
Award | FINRA | 12/18/2025 |
| 25-00378 | Claimant(s): Elaine Hartman
Claimant Representative(s): Christina Vourakis
Respondent(s): Independent Financial Group, LLC.
Respondent Representative(s): Sarah J. Kreisman
Neutral(s): Joyce L. Hurley, Barbara L. Edin, Robert Dean McKinley
Hearing Site: San Diego, CA
|
Award | FINRA | 12/17/2025 |