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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 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 |
| 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 |
| 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 |
| 25-00624 | 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 |
| 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 |
| 25-01612 | 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 |
| 25-00378 | 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 |
| 25-00690 | Claimant(s): Mark Thatcher
Claimant Representative(s): Peter Lindholm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Shruti Jaishankar
Neutral(s): Phyllis Karasov, Evalyn Lipton Fishbein, Gerald H. Grayson
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/17/2025 |
| 23-01003 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 12/17/2025 |
| 25-00042 | Claimant(s): David Mang
Claimant Representative(s): Richard T. Sullivan
Respondent(s): Moors & Cabot, Inc.
Respondent Representative(s): Pete S. Michaels
Neutral(s): Peter A.P. Dunlop
Hearing Site: Buffalo, NY
|
Award | FINRA | 12/16/2025 |
| 22-02191 | Claimant(s): Fermin Suarez, High & Future Investment Fund SA, LLC
Claimant Representative(s): Michael D. Padula
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): George D. Sullivan
Neutral(s): Steven N. Ainbinder, Gloria O. North, Cheryl Anne Snedeker
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/16/2025 |
| 24-00575 | Claimant(s): Future Financial Planners, Inc.
Claimant Representative(s): Thomas B. Slocum
Respondent(s): Ilya Khalavsky, Prospera Financial Services, Inc., TFS Securities, Inc., Endurance Wealth Partners
Respondent Representative(s): Matthew N. Fiorovanti, Shea Hicks
Neutral(s): Michael H. DuBoff, Jon Martino, Lourdes Gomez
Hearing Site: Jersey City, NJ
|
Award | FINRA | 12/16/2025 |
| 24-02472 | Claimant(s): Francesca Hector-Jones
Claimant Representative(s): Francesca Hector-Jones
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): Christopher M. McMurray, Matthew Stephen Duchesne, Fatu Suah
Hearing Site: Richmond, VA
|
Award | FINRA | 12/16/2025 |