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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 25-01652 | Claimant(s): Adrienn Braun Mazzucatelli
Claimant Representative(s): Adrienn E. Braun
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Jay Alan Kranis
Hearing Site: Jersey City, NJ
|
Award | FINRA | 01/13/2026 |
| 25-00492 | Claimant(s): Mendelssohn Joseph
Claimant Representative(s): Mendelssohn Joseph
Respondent(s): Essex National Securities, LLC
Respondent Representative(s): Greg Curley
Neutral(s): Anna M. Fanelli, Peter E. Gillespie, Andrew Ireland
Hearing Site: New York, NY
|
Award | FINRA | 01/12/2026 |
| 25-01518 | Claimant(s): Janney Montgomery Scott LLC
Claimant Representative(s): Jill B. Clarke
Respondent(s): Patrick Sullivan
Respondent Representative(s): Patrick Sullivan
Neutral(s): B. John Dill
Hearing Site: Hartford, CT
|
Award | FINRA | 01/12/2026 |
| 23-02861 | Claimant(s): John Lowry
Claimant Representative(s): Thomas P. McEvoy
Respondent(s): Spartan Capital Securities, LLC
Respondent Representative(s): Maureen Toale
Neutral(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
|
Award | FINRA | 01/12/2026 |
| 25-01148 | Claimant(s): Daniel Hamlet
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Ted M. Rosen, Martin A. Feigenbaum, Veronica Ann Williams
Hearing Site: Minneapolis, MN
|
Award | FINRA | 01/12/2026 |
| 25-00021 | Claimant(s): Anthony Craig
Claimant Representative(s): Anthony Markel Craig
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Louis E. Mendez
Neutral(s): Harvey R. Linder, Duane Alan Smith, Victoria Ann Hale
Hearing Site: Birmingham, AL
|
Award | FINRA | 01/09/2026 |
| 25-01260 | Claimant(s): Teresa McAlpine
Claimant Representative(s): Teresa K. McAlpine
Respondent(s): LPL Financial LLC
Respondent Representative(s): Kathy Adams
Neutral(s): Gloria O. North, Vincent S. Mezinko, John Warner Lowe
Hearing Site: Milwaukee, WI
|
Award | FINRA | 01/09/2026 |
| 25-01860 | Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Keith J. Barnett
Respondent(s): Matthew Weglarz
Respondent Representative(s): Matthew Weglarz
Neutral(s): Arthur Neil Tolciss
Hearing Site: New York, NY
|
Award | FINRA | 01/09/2026 |
| 25-01699 | Claimant(s): Xinyu Zhang
Claimant Representative(s): Xinyu Zhang
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Miles D. Hart
Neutral(s): Charles A. Palmer
Hearing Site: Detroit, MI
|
Award | FINRA | 01/09/2026 |
| 25-01654 | Claimant(s): Jan-Harm Nieland
Claimant Representative(s): Jan-Harm Nieland
Respondent(s): Citigroup Global Markets, Inc., Oscar Hernandez, William Hornbeck
Respondent Representative(s): Ben Suter
Neutral(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|
Award | FINRA | 01/08/2026 |
| 25-01018 | Claimant(s): Nancy Moore, William Moore, William A. & Nancy S. Moore Joint Acct.
Claimant Representative(s): William A. Moore
Respondent(s): Ameriprise Financial Services, LLC
Respondent Representative(s): Sydney Crowder Franco
Neutral(s): Daniel Robbins
Hearing Site: Albuquerque, NM
|
Award | FINRA | 01/08/2026 |
| 25-01719 | Claimant(s): Yifeng Zheng
Claimant Representative(s): Yifeng Zheng
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): William M. Turner
Neutral(s): Barry D. Kaye
Hearing Site: Los Angeles, CA
|
Award | FINRA | 01/08/2026 |
| 25-00652 | Claimant(s): Marion Deoferio
Claimant Representative(s): Marion Deoferio
Respondent(s): Key Investment Services LLC
Respondent Representative(s): Shannon L. McDougald
Neutral(s): Stephany Adriene Watson, Bruce Winfield Bean, Riya Kuo
Hearing Site: Seattle, WA
|
Award | FINRA | 01/07/2026 |
| 25-01650 | Claimant(s): Heping Zhang
Claimant Representative(s): Heping Zhang
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Meagan B. Koontz
Neutral(s): Sandra L. Malek
Hearing Site: San Diego, CA
|
Award | FINRA | 01/07/2026 |
| 22-01640 | Claimant(s): Jonathan Hendrickson
Claimant Representative(s): Rebecca Hendrickson
Respondent(s): Thrivent Investment Management Inc.
Respondent Representative(s): Jeffrey A. Ziesman
Neutral(s): William A. Barrett, Arthur Lewis Pressman, Christopher Filoon Robertson
Hearing Site: Boston, MA
|
Award | FINRA | 01/06/2026 |