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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 19-03564 | Claimant(s): John Foley
Claimant Representative(s): John Amos Foley
Respondent(s): BTIG, LLC
Respondent Representative(s): Nancy E. Pritikin
Neutral(s): Peter Ordower, Thomas P. Valenti, David Chappell Whitcomb
Hearing Site: Chicago, IL
|
Award | FINRA | 11/12/2024 |
| 23-02941 | Claimant(s): Jose Chaves
Claimant Representative(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 11/11/2024 |
| 23-02965 | Claimant(s): Rafael Rivera
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Steven N. Ainbinder
Hearing Site: San Juan, PR
|
Award | FINRA | 11/11/2024 |
| 24-01289 | Claimant(s): Evan Kluttz
Claimant Representative(s): Alex Kilmartin
Respondent(s): Dickinson & Co.
Respondent Representative(s): Barbara E. Bennett
Neutral(s): Stuart K. Furman
Hearing Site: Charlotte, NC
|
Award | FINRA | 11/11/2024 |
| 22-01207 | Claimant(s): Birchwood Resources, Inc., Detroit Street Partners, Inc.
Claimant Representative(s): Jason J. Kane
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Ronald J. Tomassi
Neutral(s): Richard J. Lawrence, Mark J. Loewenstein, Robert M. Fusfeld
Hearing Site: Denver, CO
|
Award | FINRA | 11/11/2024 |
| 24-00990 | Claimant(s): Richard Lawrence
Claimant Representative(s): Brian Luther
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Robert S. Zuckerman, Fern M. Laethem, Eric Ross Cromartie
Hearing Site: Jackson, MS
|
Award | FINRA | 11/08/2024 |
| 23-01270 | Claimant(s): Douglas Muhlbauer, The Harbor Group of New York, Inc., The Harbor Group of South Florida, Inc., Harbor Group of South Florida, Inc. 401k, Harbor Group of South Florida, Inc. Cash, The Harbor Group of New York Inc. 401(K), The Harbor Group of New York, Inc. Cash, American Endowment Foundation FBO
Claimant Representative(s): Jeffrey Erez
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): V. Justin Arpey
Neutral(s): Allen Robin, Carl Henry Perdue, Richard Gendler
Hearing Site: Boca Raton, FL
|
Award | FINRA | 11/08/2024 |
| 23-00944 | Claimant(s): Miguel Hernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey Medina-Velez
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 11/08/2024 |
| 23-01541 | Claimant(s): Keith Krupka
Claimant Representative(s): Matthew Wilson
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Donald A. Corbett
Neutral(s): Theodore E. Danciart, Paula K. Konikoff, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
|
Award | FINRA | 11/08/2024 |
| 24-00285 | Claimant(s): Karen Koenig
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
|
Award | FINRA | 11/08/2024 |
| 23-01533 | Claimant(s): Jose Chaves
Claimant Representative(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Velez
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 11/07/2024 |
| 24-00598 | Claimant(s): Arkadiusz Ploski
Claimant Representative(s): Arkadiusz Ploski
Respondent(s): Morgan Stanley & Co., LLC, E*Trade Securities LLC
Respondent Representative(s): John E. Bersin
Neutral(s): Kent L. Benziger
Hearing Site: New York, NY
|
Award | FINRA | 11/07/2024 |
| 24-01237 | Claimant(s): Daniel Ray
Claimant Representative(s): Daniel Patrick Ray
Respondent(s): LPL Financial LLC
Respondent Representative(s): Kristine R. Thomson
Neutral(s): David I. Levine, Philip Aaron Tymon, Laura A. Kaster
Hearing Site: Detroit, MI
|
Award | FINRA | 11/06/2024 |
| 22-01199 | Claimant(s): Albert Eyal, Josette Eyal, Albert Eyal IRA, Josette Eyal IRA
Claimant Representative(s): Michael Hill
Respondent(s): Zvika Feldman
Respondent Representative(s): Andrew S. May
Neutral(s): Seth L. Finkel, Peter Shapiro, Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
|
Award | FINRA | 11/06/2024 |
| 23-02954 | Claimant(s): Jonathan Viscounte
Claimant Representative(s): William R. Bean
Respondent(s): Pruco Securities, LLC.
Respondent Representative(s): Jennifer E. Novoselsky
Neutral(s): Fred W. Miller
Hearing Site: Philadelphia, PA
|
Award | FINRA | 11/06/2024 |