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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-03606 | Claimant(s): Dan Wagner
Claimant Representative(s): Alan Wolper
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Representative(s): Alan Wolper, Garry T. Stevens
Neutral(s): Gayle B. Carlson, Laura Puccia Valtorta, Joseph Rodney Starr
Hearing Site: Charlotte, NC
|
Motion to Vacate | FINRA | 12/03/2025 |
| 23-00590 | Claimant(s): Martin Hack
Claimant Representative(s): Martin Hack
Respondent(s): Damon Gallagher, Morgan Stanley, Michael Farrell, Michael Sherrill
Respondent Representative(s): Joseph L. Calabrese
Neutral(s): Edward R. Niederriter, Will Murphy, Barry David Thorpe
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/02/2025 |
| 25-01460 | Claimant(s): Nicholas Sammy
Claimant Representative(s): Nicholas Sammy
Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC
Respondent Representative(s): Lawton R. Graves
Neutral(s): Leslie L. Cooney
Hearing Site: Orlando, FL
|
Award | FINRA | 12/02/2025 |
| 23-03280 | Claimant(s): Gongyi Lin
Claimant Representative(s): Charles Yongjun Fu
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Daniel A. Spector
Neutral(s): William M. Bankston, Barbara M. Anscher, Daniel Seligman
Hearing Site: Anchorage, AK
|
Award | FINRA | 12/02/2025 |
| 23-01082 | Claimant(s): Adam Carlat, Gavin Jensen, Robert Young, One2One Wealth Strategies, LLC
Claimant Representative(s): Mahdi Ibrahim
Respondent(s): PlanMember Financial Corporation, PlanMember Securities Corporation, PlanMember Services Corporation
Respondent Representative(s): Brandon S. Reif
Neutral(s): Barbara M. Zak, Keny Edgar Chang Leon
Hearing Site: Los Angeles, CA
|
Motion to Vacate | FINRA | 12/02/2025 |
| 23-01082 | Claimant(s): Adam Carlat, Gavin Jensen, Robert Young, One2One Wealth Strategies, LLC
Claimant Representative(s): Mahdi Ibrahim
Respondent(s): PlanMember Financial Corporation, PlanMember Securities Corporation, PlanMember Services Corporation
Respondent Representative(s): Brandon S. Reif
Neutral(s): Barbara M. Zak, Keny Edgar Chang Leon
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/02/2025 |
| 25-00537 | Claimant(s): Sibyl Woo
Claimant Representative(s): James P. Galvin
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Esther E. Cho
Neutral(s): Ilene T. Gormly, Andrew M. Mintzer, John J. Fitzpatrick
Hearing Site: Phoenix, AZ
|
Award | FINRA | 12/01/2025 |
| 25-00474 | Claimant(s): Logan Shalmi
Claimant Representative(s): Cory S. Zadanosky
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Alexa P. Saberito
Neutral(s): Stuart D. Summers, Christopher J. Klein, John J. Mager
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/01/2025 |
| 25-01514 | Claimant(s): Keith Johnson
Claimant Representative(s): Keith Johnson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Brooke S. Fleischman
Neutral(s): Richard Kent Mahrle
Hearing Site: Denver, CO
|
Award | FINRA | 12/01/2025 |
| 25-00736 | Claimant(s): Michael Bruggemann
Claimant Representative(s): Peter Lindholm
Respondent(s): Osaic Services, Inc.
Respondent Representative(s): Eric A. Michaels
Neutral(s): Carol M. Egan, Richard P. Regan, Thomas P. Valenti
Hearing Site: Honolulu, HI
|
Award | FINRA | 11/28/2025 |
| 25-00758 | Claimant(s): TradeStation Securities, Inc.
Claimant Representative(s): Myra C. Mormile-Wolper
Respondent(s): Nicole Conti
Respondent Representative(s): Nicole Conti
Neutral(s): Donald Dreyfus
Hearing Site: Las Vegas, NV
|
Award | FINRA | 11/28/2025 |
| 24-01464 | Claimant(s): Christopher Bouley
Claimant Representative(s): Seth I. Rubinson
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Ira G. Rosenstein
Neutral(s): Susan F. Drogin, Mary Elizabeth Satran, Stacey Price Nakasian
Hearing Site: Providence, RI
|
Award | FINRA | 11/28/2025 |
| 25-00053 | Claimant(s): Kenneth Andrew Janello Estate
Claimant Representative(s): Amy E Sturge
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Daniel Robbins, Harold Wade Lavender, Robyn M Hill
Hearing Site: Albuquerque, NM
|
Award | FINRA | 11/26/2025 |
| 25-00576 | Claimant(s): Neil Grant
Claimant Representative(s): Peter Lindholm
Respondent(s): Morgan Stanley
Respondent Representative(s): Olaniyi Solebo
Neutral(s): Paul H. Lamboley, Cheryl H. Agris, Michael A. Orticelle
Hearing Site: Dallas, TX
|
Award | FINRA | 11/26/2025 |
| 24-02496 | Claimant(s): Lewis Morris and Pamela Morris
Claimant Representative(s): Pamela Morris
Respondent(s): Gregory Mueller, Robert Mueller
Respondent Representative(s): Jonathan M. Sterling
Neutral(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
|
Award | FINRA | 11/25/2025 |