| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 22-02415 | Claimant(s): BG Strategic Advisors, LLC, BGSA Holdings, LLC
Claimant Representative(s): Marc S. Dobin
Respondent(s): Ryan Kuhn
Respondent Representative(s): Peter T. Mavrick
Neutral(s): Avery B. Goodman, Stephen Gregg Ellis, Danny Lynn Ingram
Hearing Site: Boca Raton, FL
|
Award | FINRA | 07/26/2024 |
| 23-03425 | Claimant(s): Michael Bond
Claimant Representative(s): Bruce W. Barnes
Respondent(s): USAA Investment Services Company
Respondent Representative(s): David W Erb
Neutral(s): John P. Cullem
Hearing Site: Tampa, FL
|
Award | FINRA | 07/26/2024 |
| 24-00271 | Claimant(s): Douglas Kleckner
Claimant Representative(s): Matthew E. Wolper
Respondent(s): Monmouth Capital Management LLC
Respondent Representative(s): Robert Meyer, CEO
Neutral(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
|
Award | FINRA | 07/26/2024 |
| 24-00555 | Claimant(s): Sravanthi Gadamsetty IRA
Claimant Representative(s): Sravanthi Gadamsetty
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Jovalin Dedaj
Neutral(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
|
Award | FINRA | 07/26/2024 |
| 23-01189 | Claimant(s): Nir Haklili, Nir Haklili IRA
Claimant Representative(s): Nir Haklili
Respondent(s): Independent Financial Group, LLC.
Respondent Representative(s): Benjamin J. Biard
Neutral(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
|
Award | FINRA | 07/25/2024 |
| 23-00384 | Claimant(s): Steward Partners Investment Solutions
Claimant Representative(s): Michael T. Roche
Respondent(s): Vincent Fuchs
Respondent Representative(s): Robert E. Linkin
Neutral(s): Maryanne M. Esser
Hearing Site: Houston, TX
|
Award | FINRA | 07/24/2024 |
| 21-01002 | Claimant(s): The Estate of Joyce Fabian
Claimant Representative(s): Sam A. Silverstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Ellen Sessions
Neutral(s): Jill Pilgrim, Kimberly C. Lawrence, Thomas M. Madden
Hearing Site: New York, NY
|
Award | FINRA | 07/24/2024 |
| 23-02918 | Claimant(s): Ahmed Gheith
Claimant Representative(s): Todd A. Zuckerbrod
Respondent(s): Paulson Investment Company, LLC
Respondent Representative(s): Amal S. Amin
Neutral(s): Julian F. Santos, Robert Francis Geary, Peter Whittingham
Hearing Site: New York, NY
|
Award | FINRA | 07/24/2024 |
| 23-03010 | Claimant(s): John Girgis
Claimant Representative(s): Tosh Grebenik
Respondent(s): Worden Capital Management LLC, Brookstone Securities, Inc., Legend Securities, Inc.
Respondent Representative(s): David W. Locy, Jamie J. Worden, Salvortore C. Caruso
Neutral(s): Jeffrey Alan Helewitz, Kathleen Cawley, Gerald M. Levine
Hearing Site: New York, NY
|
Award | FINRA | 07/24/2024 |
| 24-00066 | Claimant(s): Brian Goossen
Claimant Representative(s): Joshua B. Kons
Respondent(s): CrowdStreet, Inc., Crowdstreet Capital LLC
Respondent Representative(s): Gabrielle L. Gould
Neutral(s): Jacqueline R. Fox, Catherine Stewart, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
|
Award | FINRA | 07/24/2024 |
| 23-02912 | Claimant(s): Steven Maher
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): American Portfolios Financial Srvs., Inc, Next Financial Group, Inc.
Respondent Representative(s): Jennifer R. Cox, John T. Unger
Neutral(s): Denise L. Quarles, Leslie Ruth Nydick, Jennifer K. Adams
Hearing Site: Jersey City, NJ
|
Award | FINRA | 07/22/2024 |
| 23-02478 | Claimant(s): LPL Financial LLC
Claimant Representative(s): Rick Smith
Respondent(s): Feng Chen
Respondent Representative(s): Feng Kou Chen
Neutral(s): John Burritt McArthur
Hearing Site: San Francisco, CA
|
Award | FINRA | 07/22/2024 |
| 23-02111 | Claimant(s): Robert Stefanelli
Claimant Representative(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Representative(s): Michele Misiti
Neutral(s): Alice E. Winkler, Paul Allan Massaro, Antonio Di Palma
Hearing Site: Jersey City, NJ
|
Award | FINRA | 07/19/2024 |
| 23-01596 | Claimant(s): Nathan Torgerson
Claimant Representative(s): Christopher H Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Carole G. Miller
Neutral(s): Renee Bryna Gerstman
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 07/19/2024 |
| 23-02614 | Claimant(s): Spencer Warn
Claimant Representative(s): Colin D. Gerish
Respondent(s): Cetera Investment Services, LLC.
Respondent Representative(s): Steven E. Mellen
Neutral(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
|
Award | FINRA | 07/19/2024 |
