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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-01687 | Claimant(s): Christopher Daniels
Claimant Representative(s): Christopher A. Daniels
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Carole G. Miller
Neutral(s): Dean J. Dietrich
Hearing Site: Honolulu, HI
|
Award | FINRA | 12/20/2024 |
| 23-01993 | Claimant(s): Steven Gallant
Claimant Representative(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Sara Soto
Neutral(s): Nancy J. Cliff, Michele Cestari Schimmel, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
|
Award | FINRA | 12/20/2024 |
| 23-02259 | Claimant(s): Edward Kovary
Claimant Representative(s): Daniel J. Kaiser
Respondent(s): Steven Levine, EarlyBirdCapital, Inc.
Respondent Representative(s): Jonathan L. Israel
Neutral(s): Robert Elliot Harrison, Charles L Brutten, David Jonathan Reich
Hearing Site: New York, NY
|
Award | FINRA | 12/20/2024 |
| 23-02127 | Claimant(s): Viktoria Zhilkina
Claimant Representative(s): Viktoria Zhilkina
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kevin S. Blume
Neutral(s): Steven Gary Leventhal
Hearing Site: New York, NY
|
Award | FINRA | 12/20/2024 |
| 23-02129 | Claimant(s): Jose Cortez
Claimant Representative(s): Jose Luis Cortez
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Stacey M. Garrett
Neutral(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
|
Award | FINRA | 12/20/2024 |
| 24-00188 | Claimant(s): April Zhang
Claimant Representative(s): Harris Freedman
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Shawn Ridgell
Hearing Site: San Francisco, CA
|
Award | FINRA | 12/20/2024 |
| 24-01657 | Claimant(s): Bradley Moore, Judy Moore
Claimant Representative(s): Bradley Scott Moore
Respondent(s): Cadaret, Grant & Co., Inc.
Respondent Representative(s): John T. Unger
Neutral(s): Jeffry M. Bauer
Hearing Site: Columbus, OH
|
Award | FINRA | 12/19/2024 |
| 24-00809 | Claimant(s): Todd Crutchley
Claimant Representative(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Deirdre C Wolff
Neutral(s): Madelon M. Rosenfeld, Alice E. Winkler, Peter A.P. Dunlop
Hearing Site: Columbia, SC
|
Award | FINRA | 12/19/2024 |
| 23-00963 | Claimant(s): Miguel Hernandez
Claimant Representative(s): Roberto C. Quinones-Rivera
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 | 12/18/2024 |
| 23-03038 | Claimant(s): Lamont Chandler
Claimant Representative(s): T. Hunter Brown
Respondent(s): Madison Avenue Securities, LLC
Respondent Representative(s): John C. Gray
Neutral(s): Susan L. Walker
Hearing Site: Kansas City, MO
|
Award | FINRA | 12/18/2024 |
| 23-01903 | Claimant(s): Ilda Wood, Jaclyn Muller, Sterling Wood, Steven Muller
Claimant Representative(s): Jonathan Kurta
Respondent(s): Morgan Stanley
Respondent Representative(s): Theodore R. Snyder
Neutral(s): Marvin L. Schuldiner, Richard Gary Stelnik, Bertha Maria Rodriguez
Hearing Site: Jersey City, NJ
|
Award | FINRA | 12/18/2024 |
| 23-01968 | Claimant(s): Reem Kabouk, REEM KABOUK TRUST
Claimant Representative(s): Adrian Castro
Respondent(s): John Klaasen, Merrill Lynch Pierce Fenner & Smith Inc., Paul Addo
Respondent Representative(s): Ellen Sessions
Neutral(s): Mary C. Davis, Gregory G. Gocek, Robert M. Fusfeld
Hearing Site: Denver, CO
|
Award | FINRA | 12/18/2024 |
| 24-01740 | Claimant(s): Roberta Kunen
Claimant Representative(s): Roberta Kunen
Respondent(s): Michael Sherrill
Respondent Representative(s): Andrew Joyce
Neutral(s): David S. Godkin
Hearing Site: Providence, RI
|
Award | FINRA | 12/18/2024 |
| 23-01234 | Claimant(s): Elliot Sherer
Claimant Representative(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Representative(s): Kevin Meade
Neutral(s): Gerald M. Levine
Hearing Site: New York, NY
|
Award | FINRA | 12/17/2024 |
| 23-03009 | Claimant(s): Kyle Kirwan
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Kalos Capital, Inc.
Respondent Representative(s): Carol Wildermuth
Neutral(s): David L. Moran, Roger A. Geddes, Hugh James Anderson
Hearing Site: Las Vegas, NV
|
Award | FINRA | 12/17/2024 |