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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-02893 | Claimant(s): Howard Hsieh
Claimant Representative(s): Christina Vourakis
Respondent(s): Cetera Investment Services, LLC.
Respondent Representative(s): Jeremy Carr
Neutral(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
|
Award | FINRA | 09/13/2024 |
| 23-00587 | Claimant(s): Carol Parks
Claimant Representative(s): Jason Doss
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam Kauff
Neutral(s): Gordon M. Wase, Armand Philip Lione, Julius P. Terrell
Hearing Site: Washington, DC
|
Award | FINRA | 09/13/2024 |
| 23-02490 | Claimant(s): Jeffrey McDonald
Claimant Representative(s): Craig A. Riha
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam M. Kauff
Neutral(s): Jerrold E. Slutzky, Kenneth R. Starr, Carolyn E. Moore
Hearing Site: Tampa, FL
|
Award | FINRA | 09/13/2024 |
| 24-01274 | Claimant(s): Stifel, Nicolaus & Co., Inc.
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Joseph Monaco
Respondent Representative(s): Joseph Anthony Monaco
Neutral(s): Bryan Lane Berson
Hearing Site: New York, NY
|
Award | FINRA | 09/13/2024 |
| 23-02519 | Claimant(s): William Harrison
Claimant Representative(s): William H. Harrison
Respondent(s): Lightspeed Financial Services Group LLC
Respondent Representative(s): James L. Kopecky
Neutral(s): Eric R. Benton
Hearing Site: Houston, TX
|
Award | FINRA | 09/13/2024 |
| 24-00176 | Claimant(s): Securities America, Inc.
Claimant Representative(s): Gregory M. Curley
Respondent(s): Jeremy Belfiore
Respondent Representative(s): Clinton W. Marrs
Neutral(s): Richard Marc Weinroth, Glenn Allen Baker, Patrick Irvine
Hearing Site: Phoenix, AZ
|
Award | FINRA | 09/13/2024 |
| 23-02260 | Claimant(s): Muharrem Nezaj, 23 Hoffman LLC, 3155-3157 Villa, Inc.
Claimant Representative(s): Michael C. Bixby
Respondent(s): Scott Offerman, Concorde Investment Services, LLC
Respondent Representative(s): Scott Holcomb
Neutral(s): Clarence Smith, Cheryl H. Agris, Elaine Shay
Hearing Site: New York, NY
|
Award | FINRA | 09/12/2024 |
| 24-00056 | Claimant(s): Ronnie Lee Rozier
Claimant Representative(s): Ronnie L. Rozier
Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, LLC, Rick Kent
Respondent Representative(s): Deirdre C. Wolff, Luis F. Mendez
Neutral(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
|
Award | FINRA | 09/12/2024 |
| 23-00964 | Claimant(s): Federico Lopez Juarbe
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
|
Award | FINRA | 09/12/2024 |
| 23-03347 | Claimant(s): Natasha Jahn
Claimant Representative(s): Dochtor Kennedy
Respondent(s): CUNA Brokerage Services, Inc.
Respondent Representative(s): Sandra D. Grannum
Neutral(s): Philip Alan Johnson
Hearing Site: Seattle, WA
|
Award | FINRA | 09/12/2024 |
| 23-03453 | Claimant(s): Lou Varanese
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): David I. Hantman
Neutral(s): George Forest Bingham
Hearing Site: Philadelphia, PA
|
Award | FINRA | 09/11/2024 |
| 23-02881 | Claimant(s): Bruce Kimball
Claimant Representative(s): Bruce M. Kimball
Respondent(s): Securities America, Inc., Geneos Wealth Management, Inc
Respondent Representative(s): Jennifer R. Cox, Victoria H. Buter
Neutral(s): David A. Schuler
Hearing Site: Dallas, TX
|
Award | FINRA | 09/11/2024 |
| 23-02806 | Claimant(s): Steven Prestyly
Claimant Representative(s): Daniel D'Costa
Respondent(s): LPL Financial LLC
Respondent Representative(s): Eleonora Yonge
Neutral(s): Harvey R. Linder, Margaret Verdery Little, Dexter Thomas Laughlin
Hearing Site: Norfolk, VA
|
Award | FINRA | 09/11/2024 |
| 23-01721 | Claimant(s): William Collier
Claimant Representative(s): William O. Collier
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Sara Soto
Neutral(s): Joyce A. Mitchell, David Paul Clark, David Ivan Brochstein
Hearing Site: Richmond, VA
|
Award | FINRA | 09/10/2024 |
| 23-03033 | Claimant(s): Matthew Buchsbaum
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Laura Carraher
Hearing Site: New York, NY
|
Award | FINRA | 09/10/2024 |