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 |
|---|---|---|---|---|
| 25-01151 | Claimant(s): Nolan Chowansky
Claimant Representative(s): Nolan F. Chowansky
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): H Russell Preston, Karl A. Vogeler, James Howell Garrison
Hearing Site: Columbia, SC
|
Award | FINRA | 01/05/2026 |
| 25-01646 | Claimant(s): Tradestation Securities, Inc.
Claimant Representative(s): Myra C Mormile-Wolper
Respondent(s): Estevan Canales
Respondent Representative(s): Estevan Canales
Neutral(s): Robert Dean McKinley
Hearing Site: Albuquerque, NM
|
Award | FINRA | 01/05/2026 |
| 25-01411 | Claimant(s): Michael Norton
Claimant Representative(s): Gene L. Small
Respondent(s): David Lerner Associates, Inc.
Respondent Representative(s): Allen Holeman
Neutral(s): Michael J. Meeusen, John James McGovern, Ronald Harris Kisner
Hearing Site: New York, NY
|
Award | FINRA | 01/05/2026 |
| 24-02021 | Claimant(s): Richard Belline
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Karen H. Chapman
Neutral(s): Julius Z. Frager, Jeffrey Alan Helewitz, Louis David Huss
Hearing Site: Little Rock, AR
|
Award | FINRA | 01/02/2026 |
| 25-01165 | Claimant(s): Joseph Notarfrancesco
Claimant Representative(s): Peter Lindholm
Respondent(s): Morgan Stanley
Respondent Representative(s): Ryan Parchment
Neutral(s): Thomas J. Dolina, Arocles Aguilar, Gerald M. Levine
Hearing Site: New York, NY
|
Award | FINRA | 01/02/2026 |
| 25-01035 | Claimant(s): Leonardo Costa
Claimant Representative(s): Fabricia Resende
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Morgan K. Johnson
Neutral(s): Anthony Bruno Sanguinetti, Nanci Sondra Landy, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/02/2026 |
| 24-02088 | Claimant(s): Maher Dabbouseh
Claimant Representative(s): Maher Dabbouseh
Respondent(s): Edward Jones
Respondent Representative(s): Steven M. Malina
Neutral(s): Larry Evert Carlson, Raymond P. Buschmann, Thomas Wiegand
Hearing Site: Chicago, IL
|
Award | FINRA | 12/30/2025 |
| 25-00197 | Claimant(s): Harrison Scollar-Altman, UTMA
Claimant Representative(s): Brook Altman
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Andrew W. Sidman
Neutral(s): Kenneth J. Horowitz, Edward W. Morris, Phillip Michael Brown
Hearing Site: Jersey City, NJ
|
Award | FINRA | 12/30/2025 |
| 24-00406 | Claimant(s): William Martin
Claimant Representative(s): Michele M. Anderson
Respondent(s): Arnold Mcdonald, Rita Mansour, Thomas Mcdonald, Mcdonald Management, LLC, Mcdonald Partners LLC
Respondent Representative(s): Michael J. Charlillo
Neutral(s): Will Murphy, Robert G. Geeseman, Ronald Lawrence Myers
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/30/2025 |
| 25-00725 | Claimant(s): Robert Gargiulo
Claimant Representative(s): Robert Neil Gargiulo
Respondent(s): Jane Donnelly
Respondent Representative(s): Jane Ellen Donnelly
Neutral(s): Denise L. Quarles
Hearing Site: New York, NY
|
Award | FINRA | 12/30/2025 |
| 25-01804 | Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Laurie A. Perez
Respondent(s): Richard Panico
Respondent Representative(s): Richard Joseph Panico
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Award | FINRA | 12/30/2025 |
| 25-01804 | Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Laurie A. Perez
Respondent(s): Richard Panico
Respondent Representative(s): Richard Joseph Panico
Neutral(s): Jim Geiger
Hearing Site: Columbus, OH
|
Motion to Vacate | FINRA | 12/30/2025 |
| 24-02696 | Claimant(s): Paul Gioupis
Claimant Representative(s): Michael Gilmore
Respondent(s): James Webb, Cape Securities Inc.
Respondent Representative(s): Scott Holcomb
Neutral(s): Elizabeth Gilbert, Veera V. Konka, Ronald Jay Horowitz
Hearing Site: New York, NY
|
Award | FINRA | 12/30/2025 |
| 24-02696 | Claimant(s): Paul Gioupis
Claimant Representative(s): Michael Gilmore
Respondent(s): James Webb, Cape Securities Inc.
Respondent Representative(s): Scott Holcomb
Neutral(s): Elizabeth Gilbert, Veera V. Konka, Ronald Jay Horowitz
Hearing Site: New York, NY
|
Motion to Vacate | FINRA | 12/30/2025 |
| 24-01208 | Claimant(s): Joshua Biering
Claimant Representative(s): Joshua J. Iacuone
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Eric Ross Cromartie, Alison Battiste Clement, Christine Rister
Hearing Site: Dallas, TX
|
Award | FINRA | 12/29/2025 |