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| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 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 |
| 23-02754 | 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 |
| 23-02920 | 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 |
| 24-01066 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Representative(s): Andrew DeLucia
Respondent(s): Michael Magruder
Respondent Representative(s): Michael Edwin Magruder
Neutral(s): Robert H. Putnam
Hearing Site: Birmingham, AL
|
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 |
| 23-01795 | Claimant(s): Michael Kuczinski
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): OSAIC Wealth, Inc, Investors Capital Corp.
Respondent Representative(s): David Feldstein, Jennifer R. Cox
Neutral(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
|
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 |
| 22-01294 | Claimant(s): Jane Hagelstein, Jane A. Hagelstein Roth IRA
Claimant Representative(s): Darlene Pasieczny
Respondent(s): Caryn Alles, Morgan Stanley
Respondent Representative(s): Emily Z. Culbertson
Neutral(s): John M. Casey, Bryon Scott, Crystal Rose O'Grady
Hearing Site: Portland, OR
|
Award | FINRA | 08/28/2024 |
| 22-02807 | Claimant(s): Chrisandra Delesky, Jonathan Provoost
Claimant Representative(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): David I. Hantman
Neutral(s): Paul Allan Massaro, Jay Alan Kranis, David Patrick Syring
Hearing Site: Jersey City, NJ
|
Award | FINRA | 08/27/2024 |
| 23-02949 | Claimant(s): Adam Figueroa
Claimant Representative(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Representative(s): Emily A. Hayes
Neutral(s): Arthur Neil Tolciss, Evan Powell, Anna Green Rich
Hearing Site: New York, NY
|
Award | FINRA | 08/27/2024 |
| 21-01883 | Claimant(s): Brock E. Milstein Trustee FBO Trust
Claimant Representative(s): David E. Robbins
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Carrie M. Stickel
Neutral(s): Robert M. Shwab, Robert H. Baker, Kevin Brodar
Hearing Site: Cleveland, OH
|
Award | FINRA | 08/27/2024 |