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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-03016 | Claimant(s): Nathanael Downs
Claimant Representative(s): Alex Padla
Respondent(s): Cambridge Investment Research, Inc.
Respondent Representative(s): Kristina J. Branstetter
Neutral(s): Stephany Adriene Watson
Hearing Site: Boise, ID
|
Award | FINRA | 09/04/2024 |
| 23-00800 | Claimant(s): Lin Ren
Claimant Representative(s): Caleb Kruckenberg
Respondent(s): Truist Investment Services, Inc., Yeoshen Tsui, Yu Tang
Respondent Representative(s): Joseph C. Coates, III
Neutral(s): Daniel J. Donovan, Larry E. Ray, Geoffrey A. Drucker
Hearing Site: Baltimore, MD
|
Award | FINRA | 09/04/2024 |
| 23-02050 | Claimant(s): Billy Howard
Claimant Representative(s): Craig S. Sternberg
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Donald A. Corbett
Neutral(s): Stephany Adriene Watson, Jonathan Michael Bensky, David Seiyei Wakukawa
Hearing Site: Seattle, WA
|
Award | FINRA | 09/03/2024 |
| 23-03384 | Claimant(s): Kenneth Grover
Claimant Representative(s): Daniel D'Costa
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, LLC, Wells Fargo Securities, LLC
Respondent Representative(s): Sara Soto
Neutral(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan
Hearing Site: Salt Lake City, UT
|
Award | FINRA | 09/03/2024 |
| 23-00008 | Claimant(s): Leo Delancey, Scott Kimball
Claimant Representative(s): Kalju Nekvasil
Respondent(s): David Dahill, Realized Financial, Inc.
Respondent Representative(s): Daniel J. Donovan
Neutral(s): Cynthia Cashman Makin
Hearing Site: San Diego, CA
|
Award | FINRA | 09/03/2024 |
| 23-02373 | Claimant(s): Edi Pouldar, Robert Pouldar
Claimant Representative(s): Kevin Pouldar
Respondent(s): Akiva Fialkoff, J.P. Morgan Securities, LLC
Respondent Representative(s): Michael A. Gross
Neutral(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
|
Award | FINRA | 09/03/2024 |
| 23-02754 | Claimant(s): Michael Beard
Claimant Representative(s): Peter Lindholm
Respondent(s): Edward Jones
Respondent Representative(s): Jonathan W. Hackbarth
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: Denver, CO
|
Award | FINRA | 08/30/2024 |
| 23-00953 | Claimant(s): Vicente Castillo
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Linette Figueroa-Torres
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
|
Award | FINRA | 08/30/2024 |
| 23-00739 | Claimant(s): Rosalie Balhan
Claimant Representative(s): Douglas W. Hyman
Respondent(s): Edward Jones
Respondent Representative(s): Michelle D. Nasser
Neutral(s): Lynn Hirschfeld Brahin, John L. Krauss, David Joseph Remondini
Hearing Site: Indianapolis, IN
|
Award | FINRA | 08/30/2024 |
| 23-02860 | Claimant(s): Paul Padovani
Claimant Representative(s): Irwin Weltz
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Christopher M. Sacco, Kathryn D. Perreault, Trae D. Meyr
Neutral(s): Linda J. Baer
Hearing Site: New York, NY
|
Award | FINRA | 08/30/2024 |
| 23-02920 | Claimant(s): Roberto De Jesus
Claimant Representative(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Linette Figueroa-Torres
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 08/29/2024 |
| 22-00090 | Claimant(s): International Assets Advisory, LLC, International Assets Investment Mgmt LLC
Claimant Representative(s): Joshua A. Katz
Respondent(s): Jacob Jansen
Respondent Representative(s): Joseph B. Alonso
Neutral(s): Michael J. Meeusen, Thomas J. Gmeinder, James Martell Martin
Hearing Site: Minneapolis, MN
|
Award | FINRA | 08/29/2024 |
| 23-01164 | Claimant(s): First Republic Investment Management, First Republic Securities Company, LLC
Claimant Representative(s): Leonard Weintraub
Respondent(s): Steven Levine
Respondent Representative(s): Michael S. Taaffe
Neutral(s): Ronald Howard Filler, Robert Lawrence Ostrov, Mark H Schiff
Hearing Site: Boca Raton, FL
|
Award | FINRA | 08/28/2024 |
| 23-03290 | Claimant(s): Eleanor Maguire
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Mclaughlin Ryder Investments, Inc.
Respondent Representative(s): Janet DeCosta
Neutral(s): Tina E. Patterson
Hearing Site: Washington, DC
|
Award | FINRA | 08/28/2024 |
| 23-02898 | Claimant(s): Roberto de Jesus Pou
Claimant Representative(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Linette Figueroa-Torres
Neutral(s): Gerald Silverman
Hearing Site: San Juan, PR
|
Award | FINRA | 08/28/2024 |