| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01445 | Claimant(s): Jonathan Satovsky
Claimant Representative(s): Harris Freedman
Respondent(s): Ameriprise Financial Services, LLC, USF Securities, L.P.
Respondent Representative(s): CT Corporation System, Howard Klausmeier
Neutral(s): Howard L. Sobel
Hearing Site: New York, NY
|
Award | FINRA | 02/15/2024 |
| 23-02715 | Claimant(s): Michael Sherman, Steven Chille
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Ellyn S. Roth
Hearing Site: New York, NY
|
Award | FINRA | 02/15/2024 |
| 23-01274 | Claimant(s): David Mcadams
Claimant Representative(s): James P. Galvin
Respondent(s): WFG Investments, Inc.
Respondent Representative(s): David W. Williams
Neutral(s): Harvey R. Linder
Hearing Site: Memphis, TN
|
Award | FINRA | 02/15/2024 |
| 22-02768 | Claimant(s): Patrick Dwyer
Claimant Representative(s): Daniel Zinman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn D. Perreault
Neutral(s): Robert G. Falbisaner
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/15/2024 |
| 22-02897 | Claimant(s): Khaled Mheisen
Claimant Representative(s): Jonathan D. Sweik
Respondent(s): The Huntington Investment Company
Respondent Representative(s): Paul R. Harris
Neutral(s): Robert J. Scafuri
Hearing Site: Detroit, MI
|
Award | FINRA | 02/15/2024 |
| 23-02406 | Claimant(s): Jeanmarie LaBonte
Claimant Representative(s): Kevin D. Galbraith
Respondent(s): U.S. Bancorp Investments, Inc.
Respondent Representative(s): Briana Al Taqatqa
Neutral(s): Ronald Chun
Hearing Site: San Francisco, CA
|
Award | FINRA | 02/15/2024 |
| 23-01421 | Claimant(s): Amy Wasser
Claimant Representative(s): Harris Freedman
Respondent(s): Edward Jones
Respondent Representative(s): Melanie L. Ronen
Neutral(s): William W. Haskell
Hearing Site: San Francisco, CA
|
Award | FINRA | 02/15/2024 |
| 23-01241 | Claimant(s): Joseph Petrillo
Claimant Representative(s): Kathleen Patchel
Respondent(s): Equitable Advisors, LLC
Respondent Representative(s): Michael J. Biondi
Neutral(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
|
Award | FINRA | 02/14/2024 |
| 23-01430 | Claimant(s): Robert Huser
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, LLC
Respondent Representative(s): Jennifer E. Novoselsky
Neutral(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
|
Award | FINRA | 02/14/2024 |
| 23-02208 | Claimant(s): Mark Zimmelman
Claimant Representative(s): Mark Elliot Zimmelman
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett R. Wynne
Neutral(s): Herb Schwartz
Hearing Site: San Francisco, CA
|
Award | FINRA | 02/14/2024 |
| 23-01341 | Claimant(s): Champ Warren
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Laura A. Pizzitola
Neutral(s): Jeffrey R. Jury
Hearing Site: Houston, TX
|
Award | FINRA | 02/14/2024 |
| 23-02595 | Claimant(s): NAMCOA - Naples Asset Management Co, LLC
Claimant Representative(s): Paul J McIntyre
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Kevin H. Lewis
Neutral(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
|
Award | FINRA | 02/14/2024 |
| 23-01231 | Claimant(s): Kristy Meeler
Claimant Representative(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Representative(s): Rochelle Mayfield
Neutral(s): Maurice M. Feller
Hearing Site: Jacksonville, FL
|
Award | FINRA | 02/14/2024 |
| 23-00329 | Claimant(s): Anita Brennan, Marina Tudela
Claimant Representative(s): Leslie Flores
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Louis David Huss
Hearing Site: San Juan, PR
|
Award | FINRA | 02/14/2024 |
| 23-01056 | Claimant(s): John Lahoud
Claimant Representative(s): Michael Bessette
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): John Murphy, Laura A. Pizzitola
Neutral(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
|
Award | FINRA | 02/14/2024 |
