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Award Document | Case Summary | Document Type | Forum | Date of Award |
---|---|---|---|---|
24-01435 | Claimant(s): Brian Schoonover
Claimant Representative(s): Robert D. Loventhal
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Nuviah Shirazi
Neutral(s): Charles Marcus Harris
Hearing Site: Charlotte, NC
|
Award | FINRA | 01/22/2025 |
24-01775 | Claimant(s): Frank Naccarati
Claimant Representative(s): Frank G. Naccarati
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Gene L. Small
Neutral(s): William Wilson Lowe, Thomas E Kopil, Fred Greenberg
Hearing Site: Philadelphia, PA
|
Award | FINRA | 01/21/2025 |
24-00276 | Claimant(s): Hani Ahmar
Claimant Representative(s): Hani Ahmar
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Carol Maria Luttati
Hearing Site: New York, NY
|
Award | FINRA | 01/21/2025 |
23-02336 | Claimant(s): Daniel Dilay, Denise Dilay
Claimant Representative(s): Jason T. Albin
Respondent(s): Concorde Investment Services, LLC
Respondent Representative(s): Scott Holcomb
Neutral(s): Tracy L. Allen
Hearing Site: Detroit, MI
|
Award | FINRA | 01/17/2025 |
23-02298 | Claimant(s): Mark Russo
Claimant Representative(s): Anthony C. Ciaccio
Respondent(s): Morgan Stanley
Respondent Representative(s): Amanda Parisi
Neutral(s): Jeffrey Alan Helewitz, Marvin L. Schuldiner, Sirena Terr
Hearing Site: Jersey City, NJ
|
Award | FINRA | 01/16/2025 |
23-02498 | Claimant(s): Gary Mattson
Claimant Representative(s): Tosh Grebenik
Respondent(s): Allstate Financial Services, LLC, Gradient Securities, LLC
Respondent Representative(s): Beau D. McGraw, Jennifer E. Novoselsky
Neutral(s): Tracy L. Allen, Sandra Franklin, Lisa Serra
Hearing Site: Detroit, MI
|
Award | FINRA | 01/16/2025 |
24-01246 | Claimant(s): Joseph Bowden
Claimant Representative(s): James P Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn Dietrich Perreault
Neutral(s): Edith M. Novack, Douglas Earl McLaren, Christopher J. Klein
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/16/2025 |
22-01805 | Claimant(s): Susan G. Karabelnick Trust
Claimant Representative(s): Peter C. Rageas
Respondent(s): Dirk Rabenold, Next Financial Group, Inc.
Respondent Representative(s): Samuel P. Mauch
Neutral(s): Robert J. Scafuri, Betty Rankin Widgeon, Dennis Garry Whittie
Hearing Site: Detroit, MI
|
Award | FINRA | 01/16/2025 |
24-02146 | Claimant(s): Francis Carson
Claimant Representative(s): Kathy M. Klock
Respondent(s): Money Concepts Capital Corp
Respondent Representative(s): Kathy M. Klock
Neutral(s): Douglas J. Nesbit, Carol M. Egan, Gregory G. Gocek
Hearing Site: Hartford, CT
|
Award | FINRA | 01/16/2025 |
23-02329 | Claimant(s): Alison Tomlinson
Claimant Representative(s): Jeffrey R. Thomas
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam M. Kauff
Neutral(s): Richard M. Reider, Anita Rae Shapiro, Mark C Stotik
Hearing Site: Denver, CO
|
Award | FINRA | 01/15/2025 |
23-03582 | Claimant(s): Kelly Baumann
Claimant Representative(s): Jon-Jorge Aras
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Judith C. Zerden, Joseph W. Lodato, Tong Wang
Hearing Site: New York, NY
|
Award | FINRA | 01/15/2025 |
23-00309 | Claimant(s): Sara Meder Giachetti Trust
Claimant Representative(s): Chase Carlson
Respondent(s): Ameriprise Financial Services, LLC, Equitable Financial Life Insurance Co., Reproductive Freedom for All
Respondent Representative(s): Edward A. Walton, Ezra W. Reese, Joseph Two
Neutral(s): Tina E. Patterson, Richard James Igou, Brad Joseph Faltermeier
Hearing Site: Richmond, VA
|
Award | FINRA | 01/14/2025 |
24-00642 | Claimant(s): Harmeet Hayer
Claimant Representative(s): Peter Lindholm
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): Darryl J. Horowitt
Hearing Site: San Francisco, CA
|
Award | FINRA | 01/14/2025 |
22-00300 | Claimant(s): Carlos Ferreira Lima, Gustavo Pecego
Claimant Representative(s): Stephany D. McLaughlin
Respondent(s): Morgan Stanley, Ricardo Guimaraes
Respondent Representative(s): Joseph B. Alonso, Salvador M. Hernandez
Neutral(s): Michael Ross, Steven E. Eisenberg, Thomas Fred Meyer
Hearing Site: Boca Raton, FL
|
Award | FINRA | 01/13/2025 |
24-01113 | Claimant(s): Peter Ciampi
Claimant Representative(s): Peter Ciampi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Noah D. Sorkin
Neutral(s): Nancy Wiegers Greenwald
Hearing Site: Boston, MA
|
Award | FINRA | 01/13/2025 |