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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 24-01616 | Claimant(s): Caroline Hajost
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
|
Award | FINRA | 04/15/2025 |
| 23-03179 | Claimant(s): Paul Sealy
Claimant Representative(s): Parisis G. Filippatos
Respondent(s): Arena Financial Services, LLC
Respondent Representative(s): Patrick J. Lamparello
Neutral(s): Keely D. Parr, William Marsillo, Susan Hoyt
Hearing Site: New York, NY
|
Award | FINRA | 04/15/2025 |
| 24-00281 | Claimant(s): Anne Peterson
Claimant Representative(s): W. D. Masterson
Respondent(s): Vanguard Marketing Corporation
Respondent Representative(s): Kenneth J. Turnbull
Neutral(s): Michael Gideon Brown, Albert Bates Wenzell, John Vernard Dowdy
Hearing Site: Dallas, TX
|
Award | FINRA | 04/14/2025 |
| 24-00760 | Claimant(s): Weslie Green
Claimant Representative(s): Matthew J. King
Respondent(s): Jonathan Wood, Richard La Rose, Robert Schinsky
Respondent Representative(s): James L. Kopecky
Neutral(s): Lawrence E. Dube, William James Pantele, Alison Leslie Lewis
Hearing Site: Richmond, VA
|
Award | FINRA | 04/14/2025 |
| 23-02176 | Claimant(s): Curtis Miller, Susan Cushing
Claimant Representative(s): Scott L. Silver
Respondent(s): United Planners' Financial Services
Respondent Representative(s): Susan M. Silva
Neutral(s): Peter M Cosel, Patrick Sullivan, Lisa Manget Buchanan
Hearing Site: Providence, RI
|
Award | FINRA | 04/14/2025 |
| 24-01439 | Claimant(s): Mitchell Hirsch
Claimant Representative(s): Debra A. Jenks
Respondent(s): Fortune Financial Services, Inc.
Respondent Representative(s): Karl E. May
Neutral(s): Leonard Arthur Nelson, Frederick Ramos, Veronica Ann Williams
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/14/2025 |
| 23-02922 | Claimant(s): Frank Carrasco, Roberto Fortuno
Claimant Representative(s): Roberto C. Quiñones
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 | 04/11/2025 |
| 24-02336 | Claimant(s): Hugo Mantilla
Claimant Representative(s): Randi Perry Spallina
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Stuart Sinai, Michael J. Ahlstrom, Susan L. Luck
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/11/2025 |
| 22-01970 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Representative(s): Christopher S. Koller
Respondent(s): John Lahoud
Respondent Representative(s): Michael Bessette
Neutral(s): Robert J. Kheel, Sandra J. Mullings, Arturo C. Porzecanski
Hearing Site: New York, NY
|
Award | FINRA | 04/11/2025 |
| 24-02574 | Claimant(s): Philip Tabbiner
Claimant Representative(s): Philip Tabbiner
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Rebecca E. Swenson
Neutral(s): Matthew Stephen Duchesne
Hearing Site: Richmond, VA
|
Award | FINRA | 04/11/2025 |
| 23-00971 | Claimant(s): Miguel Hernandez
Claimant Representative(s): Roberto C. Quinones
Respondent(s): Santander Securities LLC
Respondent Representative(s): Sara L. Velez Santiago
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 04/11/2025 |
| 24-02129 | Claimant(s): Timothy Stark
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Representative(s): Clarke C. Greene
Neutral(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
|
Award | FINRA | 04/11/2025 |
| 24-02476 | Claimant(s): Charles Toth, Susan Korda
Claimant Representative(s): Charles Toth, Susan Korda
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Greg Scanlon
Neutral(s): Susanne J. Hollander
Hearing Site: Columbus, OH
|
Award | FINRA | 04/11/2025 |
| 24-01862 | Claimant(s): Daniel Martin
Claimant Representative(s): Peter Lindholm
Respondent(s): Morgan Stanley
Respondent Representative(s): Amanda Parisi
Neutral(s): Ted M. Rosen, Elwood C. Avery, Michael J. Meeusen
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/10/2025 |
| 23-00125 | Claimant(s): Robert Hall, Virginia Hall
Claimant Representative(s): D. Daxton White
Respondent(s): McDermott Investment Services, LLC
Respondent Representative(s): Christina M. Hill
Neutral(s): John B. Sochacki, Robert Lawrence Ostrov, Adam Lawrence Frankel
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/10/2025 |