Saxony Securities, Inc. Comment On Regulatory Notice 26-06
Saxony Securities, Inc. Comment On Regulatory Notice 26-06 fnrw-backend Tue, 04/28/2026 – 17:19 Ryan C. Klump null null rklump@saxonysecurities.com Saxony Securities, Inc. Regulatory Notice 26-06 Core Official Date Tue, 04/28/2026 – 12:00 Comment File SSI Comment Letter- Final.pdf
2024080106201 SWBC Investment Services, LLC CRD 133715 AWC lp.pdf
2024080106201 SWBC Investment Services, LLC CRD 133715 AWC lp.pdf Anonymous (not verified) Tue, 04/28/2026 – 17:15 Case ID 2024080106201 Document Number 0fdda498 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Tue, 04/28/2026 – 12:00 Related Content Off Attachment 2024080106201 SWBC Investment Services, LLC CRD 133715 AWC lp.pdf
Patrick Capital Markets, LLC (PCM) Comment On Regulatory Notice 26-06
Patrick Capital Markets, LLC (PCM) Comment On Regulatory Notice 26-06 fnrw-backend Tue, 04/28/2026 – 17:06 Ryan C. Klump Comment On Regulatory Notice 26-06 null null rklump@patrickcapital.com Patrick Capital Markets, LLC (PCM) Regulatory Notice 26-06 Core Official Date Tue, 04/28/2026 – 12:00 Comment File PCM Comment Letter- Final.pdf
SR-FINRA-2026-011
SR-FINRA-2026-011 K30658 Tue, 04/28/2026 – 14:44 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing […]
SR-FINRA-2026-010
SR-FINRA-2026-010 K30658 Tue, 04/28/2026 – 14:44 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail (“CAT”) costs of the National […]
Menzer & Hill, P.A. Comment On Regulatory Notice 26-06
Menzer & Hill, P.A. Comment On Regulatory Notice 26-06 fnrw-backend Mon, 04/27/2026 – 15:20 Michael Hill FL US mhill@menzerhill.com Menzer & Hill, P.A. Re: Comment on FINRA Regulatory Notice 26-06 – Modernizing FINRA Arbitration Rules, Guidance and Process Dear Ms. Mitchell: I’m an attorney who regularly represents investment fraud victims in FINRA arbitration. I urge […]
Law Offices of Melinda Jane Steuer Comment On Regulatory Notice 26-06
Law Offices of Melinda Jane Steuer Comment On Regulatory Notice 26-06 fnrw-backend Mon, 04/27/2026 – 15:02 Melinda Jane Steuer null null msteuer@californiainvestoradvocate.com Law Offices of Melinda Jane Steuer Regulatory Notice 26-06 Core Official Date Mon, 04/27/2026 – 12:00 Comment File Law Offices of Melinda Jane Steuer_26-06_4.27.2026.pdf
25-02369.pdf
25-02369.pdf Anonymous (not verified) Mon, 04/27/2026 – 14:05 Case ID 25-02369 Forum FINRA Document Type Award Claimants Donald Marder Respondents Charles Schwab & Co., Inc. Neutrals Virginia Lee Perez-Berry Hearing Site Boca Raton, FL Award Document 25-02369.pdf Documentum DocID 2a00fee5 Award Date Official Mon, 04/27/2026 – 12:00 Related Content Off Claimant Representatives Donald M Marder […]
25-00809.pdf
25-00809.pdf Anonymous (not verified) Mon, 04/27/2026 – 12:50 Case ID 25-00809 Forum FINRA Document Type Award Claimants James Mosley Respondents Fidelity Brokerage Services LLC Sean Huggins Winfred Nemlin Hearing Site Philadelphia, PA Award Document 25-00809.pdf Documentum DocID 1d31f754 Award Date Official Tue, 04/21/2026 – 12:00 Related Content Off Claimant Representatives James Mosley Respondent Representatives Joseph […]
13-02663(2).pdf
13-02663(2).pdf Anonymous (not verified) Mon, 04/27/2026 – 12:45 Case ID 13-02663 Forum FINRA Document Type Motion to Vacate Claimants Benjamin H Kwon Castle Eurasia Corp Respondents Bryan Snitselaar E*Trade Securities LLC Russell Scherrer E*Trade Clearing LLC Neutrals Robert D. Sussin Neil S. Jasper Vincent J. Natoli Hearing Site Los Angeles, CA Award Document 13-02663(2).pdf Documentum […]
24-02011.pdf
24-02011.pdf Anonymous (not verified) Sun, 04/26/2026 – 13:40 Case ID 24-02011 Forum FINRA Document Type Award Claimants Gerald Ostrowiecki Respondents E*Trade Securities LLC Neutrals Paul E. Dahlman Kyu H. Kim Andrew Ryan Shoemaker Hearing Site Cheyenne, WY Award Document 24-02011.pdf Documentum DocID 3e9e1e3d Award Date Official Fri, 04/24/2026 – 12:00 Related Content Off Claimant Representatives […]
23-02659.pdf
23-02659.pdf Anonymous (not verified) Sun, 04/26/2026 – 13:40 Case ID 23-02659 Forum FINRA Document Type Award Claimants Graham Heck Rick Fuchs Respondents Steward Partners Global Advisory, LLC Steward Partners Investment Solutions Neutrals Heather Gaile Layton Pam Rea Tommy Dale Overton Hearing Site Houston, TX Award Document 23-02659.pdf Documentum DocID 629f381f Award Date Official Fri, 04/24/2026 […]
Rex Securities Law Comment On Regulatory Notice 26-06
Rex Securities Law Comment On Regulatory Notice 26-06 fnrw-backend Fri, 04/24/2026 – 19:05 Robert H. Rex, Esq. Robert Rex <rhr@dmrslaw.com> Rex Securities Law Regulatory Notice 26-06 Core Official Date Fri, 04/24/2026 – 12:00 Comment File Rex Securities Law_Robert H Rex_26-06_4.24.2026.pdf
Carlson Law, P.A. Comment On Regulatory Notice 26-06
Carlson Law, P.A. Comment On Regulatory Notice 26-06 fnrw-backend Fri, 04/24/2026 – 18:55 Joe Muzaurieta, Esq. joe@carlsonlaw.com Carlson Law, P.A. Regulatory Notice 26-06 Core Official Date Fri, 04/24/2026 – 12:00 Comment File Carlson Law, P.A._Joe Muzaurieta, Esq._26-06_4.24.2026.pdf
Savage Villoch Law, PLLC Comment On Regulatory Notice 26-06
Savage Villoch Law, PLLC Comment On Regulatory Notice 26-06 fnrw-backend Fri, 04/24/2026 – 18:40 Robert Savage, Esq. Bert Savage <bert@savagelaw.us> Savage Villoch Law, PLLC Regulatory Notice 26-06 Core Official Date Fri, 04/24/2026 – 12:00 Comment File Savage Villoch Law, PLLC_Robert Savage_4.24.2026_26-06.pdf
William James Comment On Regulatory Notice 26-06
William James Comment On Regulatory Notice 26-06 fnrw-backend Fri, 04/24/2026 – 18:22 William James wjames1011@yahoo.com Regulatory Notice 26-06 Core Official Date Fri, 04/24/2026 – 12:00 Comment File William James_26-06_4.23.2026_Redacted to Publish.pdf
The Schwartz Law Firm, P.A. Comment On Regulatory Notice 26-06
The Schwartz Law Firm, P.A. Comment On Regulatory Notice 26-06 fnrw-backend Fri, 04/24/2026 – 18:00 Matthew L. Schwartz mschwartz@tslfirm.com The Schwartz Law Firm, P.A. Regulatory Notice 26-06 Core Official Date Fri, 04/24/2026 – 12:00 Comment File The Schwartz Law Firm, PA_Matthew Schwartz_26-06_4.24.2026.pdf
24-00407.pdf
24-00407.pdf Anonymous (not verified) Thu, 04/23/2026 – 17:05 Case ID 24-00407 Forum FINRA Document Type Award Claimants Odeon Capital Group LLC Respondents Hilltop Securities Inc. Neutrals Steven J. Petrie Charles L. Henderson Raymond A. Urci Hearing Site New York, NY Award Document 24-00407.pdf Documentum DocID 941ff2bb Award Date Official Thu, 04/23/2026 – 12:00 Related Content […]
24-02554.pdf
24-02554.pdf Anonymous (not verified) Thu, 04/23/2026 – 11:20 Case ID 24-02554 Forum FINRA Document Type Award Claimants Carlos Cusnier-Albrecht Respondents First Southern, LLC Neutrals Mark A. Myers Luz Cenit Deliz Cruz Emmalind Garcia Garcia Hearing Site San Juan, PR Award Document 24-02554.pdf Documentum DocID 5290cd67 Award Date Official Wed, 04/22/2026 – 12:00 Related Content Off […]
24-02442.pdf
24-02442.pdf Anonymous (not verified) Thu, 04/23/2026 – 11:20 Case ID 24-02442 Forum FINRA Document Type Award Claimants Wells Fargo Clearing Services, LLC Respondents David Labourdette &Partners Neutrals Vincent Micciche Thomas Benjamin Salzer Edward W. Morris Hearing Site Syracuse, NY Award Document 24-02442.pdf Documentum DocID da447e52 Award Date Official Wed, 04/22/2026 – 12:00 Related Content Off […]
SR-FINRA-2026-009
SR-FINRA-2026-009 K30658 Wed, 04/22/2026 – 17:31 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (“TRACE”) to expand the scope of the non-member affiliate—principal transaction indicator to also include member affiliates. […]
25-02319.pdf
25-02319.pdf Anonymous (not verified) Wed, 04/22/2026 – 16:20 Case ID 25-02319 Forum FINRA Document Type Award Claimants Tradestation Securities, Inc. Respondents Justin Harrell Neutrals Kathy A. Tatone Hearing Site Tampa, FL Award Document 25-02319.pdf Documentum DocID a5f45c22 Award Date Official Wed, 04/22/2026 – 12:00 Related Content Off Claimant Representatives Alan Wolper Respondent Representatives Justin Harrell
25-00809.pdf
25-00809.pdf Anonymous (not verified) Wed, 04/22/2026 – 16:20 Case ID 25-00809 Forum FINRA Document Type Award Claimants James Mosley Respondents Fidelity Brokerage Services LLC Sean Huggins Winfred Nemlin Hearing Site Philadelphia, PA Award Document 25-00809.pdf Documentum DocID 1d31f754 Award Date Official Tue, 04/21/2026 – 12:00 Related Content Off Claimant Representatives James Mosley Respondent Representatives Joseph […]
21-00202(3).pdf
21-00202(3).pdf Anonymous (not verified) Wed, 04/22/2026 – 13:55 Case ID 21-00202 Forum FINRA Document Type Order to Confirm Claimants Salah Uddin Respondents TD Ameritrade, Inc. Neutrals Michael C. Anigbogu Shawn Ridgell Gary Kostow Hearing Site San Francisco, CA Award Document 21-00202(3).pdf Documentum DocID aaa865d0 Award Date Official Thu, 10/26/2023 – 12:00 Related Content On Claimant […]
21-00202(4).pdf
21-00202(4).pdf Anonymous (not verified) Wed, 04/22/2026 – 13:55 Case ID 21-00202 Forum FINRA Document Type Other Claimants Salah Uddin Respondents TD Ameritrade, Inc. Neutrals Michael C. Anigbogu Shawn Ridgell Gary Kostow Hearing Site San Francisco, CA Award Document 21-00202(4).pdf Documentum DocID 5693f841 Award Date Official Thu, 10/26/2023 – 12:00 Related Content On Claimant Representatives Salah […]
2025087193401 Joel A. Benanti CRD 4210681 Complaint vrp.pdf
2025087193401 Joel A. Benanti CRD 4210681 Complaint vrp.pdf Anonymous (not verified) Tue, 04/21/2026 – 17:05 Case ID 2025087193401 Document Number 7ee76569 Document Type Complaints Individuals Joel A. Benanti Action Date Tue, 04/21/2026 – 12:00 Related Content Off Attachment 2025087193401 Joel A. Benanti CRD 4210681 Complaint vrp.pdf Individual CRD 4210681
25-01809.pdf
25-01809.pdf Anonymous (not verified) Tue, 04/21/2026 – 15:25 Case ID 25-01809 Forum FINRA Document Type Award Claimants Eric White Respondents Aaron Puttroff Park Avenue Securities LLC Neutrals Barbara M. Zak Randy R. Maher Lei-Chala I Wilson Hearing Site San Diego, CA Award Document 25-01809.pdf Documentum DocID 45b2f422 Award Date Official Mon, 04/20/2026 – 12:00 Related […]
25-01292.pdf
25-01292.pdf Anonymous (not verified) Tue, 04/21/2026 – 15:25 Case ID 25-01292 Forum FINRA Document Type Award Claimants Morgan Stanley MSSB Financing LLC Respondents Brooks Johnson Neutrals Richard S. Zaifert Hearing Site Columbia, SC Award Document 25-01292.pdf Documentum DocID c9c47c45 Award Date Official Mon, 04/20/2026 – 12:00 Related Content Off Claimant Representatives Todd Ratner Respondent Representatives […]
24-02710.pdf
24-02710.pdf Anonymous (not verified) Tue, 04/21/2026 – 15:25 Case ID 24-02710 Forum FINRA Document Type Award Claimants Peter Kosirog Respondents Susan Ciucci Neutrals Michael S. Jordan Hearing Site Chicago, IL Award Document 24-02710.pdf Documentum DocID f9f3b93a Award Date Official Mon, 04/20/2026 – 12:00 Related Content Off Claimant Representatives Peter Kosirog Respondent Representatives Richard A. D’Amura
23-01797.pdf
23-01797.pdf Anonymous (not verified) Tue, 04/21/2026 – 15:25 Case ID 23-01797 Forum FINRA Document Type Award Claimants James Isaacs Isaacs Investments, LLP Respondents Morgan Stanley Neutrals Brian James Tagtmeier Phyllis Ann Diamond Dwayne Nealy McClelland Hearing Site Houston, TX Award Document 23-01797.pdf Documentum DocID 008a104b Award Date Official Tue, 04/21/2026 – 12:00 Related Content Off […]
25-00177.pdf
25-00177.pdf Anonymous (not verified) Mon, 04/20/2026 – 17:45 Case ID 25-00177 Forum FINRA Document Type Award Claimants Theresa DiRuzzo, IRA Respondents Fidelity Brokerage Services LLC Neutrals Maurice M. Feller Howard N. Gorney Brian John Gallagher Hearing Site Providence, RI Award Document 25-00177.pdf Documentum DocID 2faf96de Award Date Official Mon, 04/20/2026 – 12:00 Related Content Off […]
25-01136.pdf
25-01136.pdf Anonymous (not verified) Mon, 04/20/2026 – 17:45 Case ID 25-01136 Forum FINRA Document Type Award Claimants John Esposito Respondents LPL Financial LLC Neutrals Joseph W. Lodato John Michael Bergin Saundra A Kee Waller Hearing Site Hartford, CT Award Document 25-01136.pdf Documentum DocID 12b181a6 Award Date Official Mon, 04/20/2026 – 12:00 Related Content Off Claimant […]
25-01983.pdf
25-01983.pdf Anonymous (not verified) Mon, 04/20/2026 – 17:45 Case ID 25-01983 Forum FINRA Document Type Award Claimants Nicholas Damiani Respondents Mutual Securities, Inc. Neutrals Susan C. Lushing Nancy J. Cliff Michael J Norton Hearing Site Los Angeles, CA Award Document 25-01983.pdf Documentum DocID 154f17cc Award Date Official Mon, 04/20/2026 – 12:00 Related Content Off Claimant […]
20-02308.pdf
20-02308.pdf Anonymous (not verified) Mon, 04/20/2026 – 17:45 Case ID 20-02308 Forum FINRA Document Type Award Claimants David Khezri Respondents Worden Capital Management LLC Neutrals Robert L. Palleschi William E. Nuckel Terrance J. Nolan Hearing Site New York, NY Award Document 20-02308.pdf Documentum DocID 2e38bfce Award Date Official Mon, 04/20/2026 – 12:00 Related Content Off […]
2022075734201 Barclays Capital Inc. CRD 19714 AWC lp.pdf
2022075734201 Barclays Capital Inc. CRD 19714 AWC lp.pdf Anonymous (not verified) Mon, 04/20/2026 – 15:55 Case ID 2022075734201 Document Number 9fd45948 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Mon, 04/20/2026 – 12:00 Related Content Off Attachment 2022075734201 Barclays Capital Inc. CRD 19714 AWC lp.pdf
2025085359201 Brandon J. Still CRD 7767683 AWC lp.pdf
2025085359201 Brandon J. Still CRD 7767683 AWC lp.pdf Anonymous (not verified) Fri, 04/17/2026 – 17:45 Case ID 2025085359201 Document Number a5d7eced Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Brandon J. Still Action Date Fri, 04/17/2026 – 12:00 Related Content Off Attachment 2025085359201 Brandon J. Still CRD 7767683 AWC lp.pdf Individual CRD 7767683
24-02466.pdf
24-02466.pdf Anonymous (not verified) Fri, 04/17/2026 – 17:35 Case ID 24-02466 Forum FINRA Document Type Award Claimants Sohaila Shooshtarian Respondents Fidelity Brokerage Services LLC Neutrals James Mark Eason Robyn M Hill Wilbur Thomas Eggleston Hearing Site Albuquerque, NM Award Document 24-02466.pdf Documentum DocID 40f23432 Award Date Official Fri, 04/17/2026 – 12:00 Related Content Off Claimant […]
25-01003.pdf
25-01003.pdf Anonymous (not verified) Fri, 04/17/2026 – 17:35 Case ID 25-01003 Forum FINRA Document Type Award Claimants William Tatro Respondents Cetera Wealth Services, LLC Neutrals Michael S. Matek Daniel B. MacLeod Jane A. Smith Hearing Site Louisville, KY Award Document 25-01003.pdf Documentum DocID 4ba11ef9 Award Date Official Fri, 04/17/2026 – 12:00 Related Content Off Claimant […]
25-01975.pdf
25-01975.pdf Anonymous (not verified) Fri, 04/17/2026 – 17:35 Case ID 25-01975 Forum FINRA Document Type Award Claimants Gerald Sharpe Respondents Aegis Capital Corp. Neutrals Martin A. Feigenbaum Jay H. Feldstein Peter A.P. Dunlop Hearing Site Jersey City, NJ Award Document 25-01975.pdf Documentum DocID 3fa99dc9 Award Date Official Fri, 04/17/2026 – 12:00 Related Content Off Claimant […]
Evalyn Lipton Fishbein Comment On Regulatory Notice 26-06
Evalyn Lipton Fishbein Comment On Regulatory Notice 26-06 fnrw-backend Fri, 04/17/2026 – 15:22 Evalyn Lipton Fishbein null null evefishbein@earthlink.net Attorney at Law Regulatory Notice 26-06 Core Official Date Fri, 04/17/2026 – 12:00 Comment File Evalyn Lipton Fishbein_26-06_4.17.2026_Redacted.pdf
Epperson & Greenidge, P.A. Comment On Regulatory Notice 26-06
Epperson & Greenidge, P.A. Comment On Regulatory Notice 26-06 fnrw-backend Thu, 04/16/2026 – 17:35 Andrew M. Greenidge, Esq. FL US andrew@eppersongreenidge.com Epperson & Greenidge, P.A. Regulatory Notice 26-06 Core Official Date Thu, 04/16/2026 – 12:00 Comment File E&G Comment to Regulatory Notice 26-06.pdf
2022076873501 Peter M. Rosten CRD 2973115 AWC vrp.pdf
2022076873501 Peter M. Rosten CRD 2973115 AWC vrp.pdf Anonymous (not verified) Thu, 04/16/2026 – 17:30 Case ID 2022076873501 Document Number 83211979 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Peter M. Rosten Action Date Thu, 04/16/2026 – 12:00 Related Content Off Attachment 2022076873501 Peter M. Rosten CRD 2973115 AWC vrp.pdf Individual CRD 2973115
Milnor Law PLLC and Kahn & Resnick, PL Comment On Regulatory Notice 26-06
Milnor Law PLLC and Kahn & Resnick, PL Comment On Regulatory Notice 26-06 fnrw-backend Thu, 04/16/2026 – 17:27 Christina Milnor and Howard Kahn VA US christina@milnorlaw.com Milnor Law PLLC and Kahn & Resnick, PL Regulatory Notice 26-06 Core Official Date Thu, 04/16/2026 – 12:00 Comment File 2026-04-15_Comment_Letter_RN26-06_Milnor-Kahn.pdf
Pickard Djinis and Pisarri LLP Comment On Regulatory Notice 26-06
Pickard Djinis and Pisarri LLP Comment On Regulatory Notice 26-06 fnrw-backend Thu, 04/16/2026 – 17:04 Paul J. Bazil DC undefined pjbazil@pickdjin.com Pickard Djinis and Pisarri LLP Regulatory Notice 26-06 Core Official Date Wed, 04/08/2026 – 12:00 Comment File PDP – Letter 4.8.2026 on Reg Notice 26-06.pdf
Vince Calvaruso Comment On Regulatory Notice 26-06
Vince Calvaruso Comment On Regulatory Notice 26-06 fnrw-backend Thu, 04/16/2026 – 16:48 Vince Calvaruso NY US advance_34@yahoo.com Registered Representative When a RR receives a “No Action Letter,” such should be removed from BrokerCheck because the client has not shown its case has merit; An arbitration 20+ years old under $5,000.00 should be removed from BrokerCheck […]
25-01317.pdf
25-01317.pdf Anonymous (not verified) Wed, 04/15/2026 – 18:40 Case ID 25-01317 Forum FINRA Document Type Award Claimants Steven Schmitt Respondents Morgan Stanley Neutrals Dora M. Lassinger Michael L. Lyons Edward R. Niederriter Hearing Site Los Angeles, CA Award Document 25-01317.pdf Documentum DocID d4c55608 Award Date Official Wed, 04/15/2026 – 12:00 Related Content Off Claimant Representatives […]
25-01668.pdf
25-01668.pdf Anonymous (not verified) Wed, 04/15/2026 – 18:40 Case ID 25-01668 Forum FINRA Document Type Award Claimants Adam Quarello Respondents UBS Financial Services Inc. Neutrals Robert D. Sussin Hearing Site Los Angeles, CA Award Document 25-01668.pdf Documentum DocID ee61ab31 Award Date Official Wed, 04/15/2026 – 12:00 Related Content Off Claimant Representatives William Bean Respondent Representatives […]
24-00438(2).pdf
24-00438(2).pdf Anonymous (not verified) Wed, 04/15/2026 – 18:40 Case ID 24-00438 Forum FINRA Document Type Award Claimants Sonenshine & Company LLC Sonenshine Partners LLC Respondents Cosmos Merger Sub Inc. Enghouse Interactive, Inc. Enghouse Systems Ltd Qumu Corporation Neutrals Karen J. Orlin Thomas M. Madden Charles L Brutten Hearing Site New York, NY Award Document 24-00438(2).pdf […]
25-00731.pdf
25-00731.pdf Anonymous (not verified) Wed, 04/15/2026 – 15:40 Case ID 25-00731 Forum FINRA Document Type Award Claimants Erlinda Rizzo Respondents Raymond James Financial Services, Inc. Robert Cutrupi Hearing Site Jersey City, NJ Award Document 25-00731.pdf Documentum DocID 4aa90446 Award Date Official Tue, 04/14/2026 – 12:00 Related Content Off Claimant Representatives Erlinda M. Rizzo Respondent Representatives […]
24-02389.pdf
24-02389.pdf Anonymous (not verified) Wed, 04/15/2026 – 14:30 Case ID 24-02389 Forum FINRA Document Type Award Claimants Steven McClatchey Respondents Wells Fargo Clearing Services, LLC Neutrals Tracy L. Allen Tim V. Young Azin Lotfi Hearing Site Indianapolis, IN Award Document 24-02389.pdf Documentum DocID cbed4f41 Award Date Official Wed, 04/15/2026 – 12:00 Related Content Off Claimant […]
2024081126501 David G. Joyce CRD 2665998 AWC lp.pdf
2024081126501 David G. Joyce CRD 2665998 AWC lp.pdf Anonymous (not verified) Tue, 04/14/2026 – 17:30 Case ID 2024081126501 Document Number 71f4f2a3 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals David G. Joyce Action Date Tue, 04/14/2026 – 12:00 Related Content Off Attachment 2024081126501 David G. Joyce CRD 2665998 AWC lp.pdf Individual CRD 2665998
25-01071.pdf
25-01071.pdf Anonymous (not verified) Tue, 04/14/2026 – 16:35 Case ID 25-01071 Forum FINRA Document Type Award Claimants Paul Tramontozzi Respondents LPL Financial LLC Neutrals James C. Morrow Kevin R. Zehe Vincent S. Mezinko Hearing Site New York, NY Award Document 25-01071.pdf Documentum DocID d22eb7d5 Award Date Official Tue, 04/14/2026 – 12:00 Related Content Off Claimant […]
24-02238.pdf
24-02238.pdf Anonymous (not verified) Tue, 04/14/2026 – 16:20 Case ID 24-02238 Forum FINRA Document Type Award Claimants B. Riley Wealth Management, Inc. Respondents Arturo Castelo Lopez Neutrals Steven M. Greenbaum Gloria O. North Mark A. Jacoby Hearing Site Boca Raton, FL Award Document 24-02238.pdf Documentum DocID 21ef81ea Award Date Official Tue, 04/14/2026 – 12:00 Related […]
25-00418.pdf
25-00418.pdf Anonymous (not verified) Tue, 04/14/2026 – 16:10 Case ID 25-00418 Forum FINRA Document Type Award Claimants Cabot Lodge Securities LLC Respondents David Arlein Neutrals Alan B. Goldstein Steven E. Eisenberg Michael D Felton Hearing Site Boca Raton, FL Award Document 25-00418.pdf Documentum DocID 823b960c Award Date Official Mon, 04/13/2026 – 12:00 Related Content Off […]
2019062519601 Wells Fargo Clearing Services, LLC CRD 19616 AWC ks.pdf
2019062519601 Wells Fargo Clearing Services, LLC CRD 19616 AWC ks.pdf Anonymous (not verified) Mon, 04/13/2026 – 16:35 Case ID 2019062519601 Document Number 82e15345 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Mon, 04/13/2026 – 12:00 Related Content Off Attachment 2019062519601 Wells Fargo Clearing Services, LLC CRD 19616 AWC ks.pdf
23-03356.pdf
23-03356.pdf Anonymous (not verified) Mon, 04/13/2026 – 15:25 Case ID 23-03356 Forum FINRA Document Type Award Claimants Estate of Bernard J. Sherlip Respondents Morgan Stanley Neutrals Sean Alan D’Amico Clive I. Morrick Jed Mark Horowitz Hearing Site Hartford, CT Award Document 23-03356.pdf Documentum DocID 491132e8 Award Date Official Mon, 04/13/2026 – 12:00 Related Content Off […]
25-02468.pdf
25-02468.pdf Anonymous (not verified) Mon, 04/13/2026 – 15:20 Case ID 25-02468 Forum FINRA Document Type Award Claimants Tradestation Securities, Inc. Respondents Molly Nguyen Neutrals Langfred W. White Hearing Site Tampa, FL Award Document 25-02468.pdf Documentum DocID 3ded2f73 Award Date Official Mon, 04/13/2026 – 12:00 Related Content Off Claimant Representatives Alan Wolper Respondent Representatives Molly Nguyen
25-01433.pdf
25-01433.pdf Anonymous (not verified) Mon, 04/13/2026 – 12:15 Case ID 25-01433 Forum FINRA Document Type Award Claimants Joan Vorpahl Respondents Charles Schwab & Co., Inc. Neutrals Kirtley M. Thiesmeyer Hearing Site Los Angeles, CA Award Document 25-01433.pdf Documentum DocID c1bd9620 Award Date Official Fri, 04/10/2026 – 12:00 Related Content Off Claimant Representatives Christopher Darrow Respondent […]
Monthly Disciplinary Actions - April 2026
Monthly Disciplinary Actions – April 2026 K30658 Mon, 04/13/2026 – 11:25
2022074266901 Stephen Glover Parks CRD 5074732 AWC ks.pdf
2022074266901 Stephen Glover Parks CRD 5074732 AWC ks.pdf Anonymous (not verified) Fri, 04/10/2026 – 16:35 Case ID 2022074266901 Document Number 6a33677e Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Stephen Glover Parks Action Date Fri, 04/10/2026 – 12:00 Related Content Off Attachment 2022074266901 Stephen Glover Parks CRD 5074732 AWC ks.pdf Individual CRD 5074732
25-02407.pdf
25-02407.pdf Anonymous (not verified) Fri, 04/10/2026 – 15:40 Case ID 25-02407 Forum FINRA Document Type Award Claimants Patrick Millian Respondents UBS Financial Services Inc. Neutrals Martin L. Feinberg Lynne M. Gomez Mary Kathleen Coleman Hearing Site Chicago, IL Award Document 25-02407.pdf Documentum DocID 6a08d1a2 Award Date Official Thu, 04/09/2026 – 12:00 Related Content Off Claimant […]
25-02735.pdf
25-02735.pdf Anonymous (not verified) Fri, 04/10/2026 – 15:35 Case ID 25-02735 Forum FINRA Document Type Award Claimants Debbra Thompson Ligon Respondents Robinhood Financial, LLC. Neutrals Robert H. Putnam Hearing Site Atlanta, GA Award Document 25-02735.pdf Documentum DocID 6cd70dfb Award Date Official Fri, 04/10/2026 – 12:00 Related Content Off Claimant Representatives Debbra Thompson Ligon Respondent Representatives […]
23-01842.pdf
23-01842.pdf Anonymous (not verified) Fri, 04/10/2026 – 15:30 Case ID 23-01842 Forum FINRA Document Type Award Claimants America Athene Campbell Emily Cantor-Jacobson Georgina Pazcoguin Guy Jacobson Guy Shahar Karin Schlachter Suet Wong Caroline Ya Lin Pang and Timothy Garner Joseph and Anat Leon Robert and Christine Rigby-Hall Respondents Charles Schwab & Co., Inc. Neutrals Michael […]
23-01082(3).pdf
23-01082(3).pdf Anonymous (not verified) Fri, 04/10/2026 – 15:15 Case ID 23-01082 Forum FINRA Document Type Other Claimants Adam Carlat Gavin Jensen Robert Young One2One Wealth Strategies, LLC Respondents PlanMember Financial Corporation PlanMember Securities Corporation PlanMember Services Corporation Neutrals Barbara M. Zak Keny Edgar Chang Leon Hearing Site Los Angeles, CA Award Document 23-01082(3).pdf Documentum DocID […]
21-02871(3).pdf
21-02871(3).pdf Anonymous (not verified) Thu, 04/09/2026 – 18:05 Case ID 21-02871 Forum FINRA Document Type Order to Confirm Claimants Randy Anderson Respondents UBS Financial Services Inc. Neutrals Dean J. Dietrich Michael D. Briggs Ethan Joseph Brown Hearing Site Boise, ID Award Document 21-02871(3).pdf Documentum DocID 66a91427 Award Date Official Tue, 06/03/2025 – 12:00 Related Content […]
24-02302.pdf
24-02302.pdf Anonymous (not verified) Thu, 04/09/2026 – 10:50 Case ID 24-02302 Forum FINRA Document Type Award Claimants Jason Goldwater Respondents Morgan Stanley Neutrals Janice L. Sperow Hearing Site San Diego, CA Award Document 24-02302.pdf Documentum DocID 519c77d1 Award Date Official Wed, 04/08/2026 – 12:00 Related Content Off Claimant Representatives Jason D Goldwater Respondent Representatives Gina […]
25-01220.pdf
25-01220.pdf Anonymous (not verified) Thu, 04/09/2026 – 10:20 Case ID 25-01220 Forum FINRA Document Type Award Claimants Ray Gustin Respondents Neuberger Berman BD LLC Neutrals Mitchell Regenbogen Hearing Site New York, NY Award Document 25-01220.pdf Documentum DocID b6fc54e7 Award Date Official Thu, 04/09/2026 – 12:00 Related Content Off Claimant Representatives Peter Lindholm Respondent Representatives Nicholas […]
24-00121.pdf
24-00121.pdf Anonymous (not verified) Wed, 04/08/2026 – 18:20 Case ID 24-00121 Forum FINRA Document Type Award Claimants Michael Riherd Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Helen Marinak Blohm Hearing Site San Francisco, CA Award Document 24-00121.pdf Documentum DocID 690a2d67 Award Date Official Wed, 04/08/2026 – 12:00 Related Content Off Claimant Representatives Jennifer […]
25-00621.pdf
25-00621.pdf Anonymous (not verified) Wed, 04/08/2026 – 18:20 Case ID 25-00621 Forum FINRA Document Type Award Claimants Thomas Bryant Respondents Edward Jones Neutrals Lita S. Menkin Kevin C. Coleman Peter Shapiro Hearing Site Richmond, VA Award Document 25-00621.pdf Documentum DocID 73faa56a Award Date Official Wed, 04/08/2026 – 12:00 Related Content Off Claimant Representatives William Bean […]
2019062640302 MCAP LLC CRD 139515 AWC lp.pdf
2019062640302 MCAP LLC CRD 139515 AWC lp.pdf Anonymous (not verified) Wed, 04/08/2026 – 12:40 Case ID 2019062640302 Document Number 3b0a6760 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Wed, 04/08/2026 – 12:00 Related Content Off Attachment 2019062640302 MCAP LLC CRD 139515 AWC lp.pdf
2021070337501_Venturino_5872439_NAC_jhjr.pdf
2021070337501_Venturino_5872439_NAC_jhjr.pdf Anonymous (not verified) Wed, 04/08/2026 – 12:15 Case ID 2021070337501 Document Number ab0ecd71 Document Type NAC Decisions Individuals Michael Venturino Action Date Tue, 04/07/2026 – 12:00 Related Content On Attachment 2021070337501_Venturino_5872439_NAC_jhjr.pdf Individual CRD 5872439
24-01208(3).pdf
24-01208(3).pdf Anonymous (not verified) Wed, 04/08/2026 – 10:10 Case ID 24-01208 Forum FINRA Document Type Motion to Vacate Claimants Joshua Biering Respondents J.P. Morgan Securities, LLC Neutrals Eric Ross Cromartie Alison Battiste Clement Christine Rister Hearing Site Dallas, TX Award Document 24-01208(3).pdf Documentum DocID b867d443 Award Date Official Mon, 12/29/2025 – 12:00 Related Content On […]
2021069370603 William S. Morris CRD 1793507 AWC lp.pdf
2021069370603 William S. Morris CRD 1793507 AWC lp.pdf Anonymous (not verified) Tue, 04/07/2026 – 18:05 Case ID 2021069370603 Document Number 381f2265 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals William S. Morris Action Date Tue, 04/07/2026 – 12:00 Related Content Off Attachment 2021069370603 William S. Morris CRD 1793507 AWC lp.pdf Individual CRD 1793507
FINRA E-Bill
FINRA E-Bill K33327 Tue, 04/07/2026 – 15:34 E-Bill is FINRA’s financial system that enables entitled users to view accounting details of FINRA Flex-Funding and Renewal Accounts, fund the accounts, pay annual renewal assessments and view and pay FINRA invoices. E-Bill Features FINRA Flex-Funding Account View your firm’s FINRA Flex-Funding Account balance and activity, export transaction […]
25-02163.pdf
25-02163.pdf Anonymous (not verified) Tue, 04/07/2026 – 15:10 Case ID 25-02163 Forum FINRA Document Type Award Claimants Jose Ortiz Respondents Moomoo Financial Inc. Neutrals Karen Roberts Washington Hearing Site Dallas, TX Award Document 25-02163.pdf Documentum DocID 5b98745d Award Date Official Tue, 04/07/2026 – 12:00 Related Content Off Claimant Representatives Jose E Ortiz Respondent Representatives Cameron […]
2023079674901 Frederick E. Hohensee CRD 1431948 AWC vrp.pdf
2023079674901 Frederick E. Hohensee CRD 1431948 AWC vrp.pdf Anonymous (not verified) Tue, 04/07/2026 – 14:05 Case ID 2023079674901 Document Number f0f8100c Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Frederick E. Hohensee Action Date Tue, 04/07/2026 – 12:00 Related Content Off Attachment 2023079674901 Frederick E. Hohensee CRD 1431948 AWC vrp.pdf Individual CRD 1431948
23-01342(4).pdf
23-01342(4).pdf Anonymous (not verified) Tue, 04/07/2026 – 13:45 Case ID 23-01342 Forum FINRA Document Type Order to Confirm Claimants Adam Jannetti David Jannetti Leah Jannetti Sarah Jannetti Respondents Stifel, Nicolaus & Co., Inc. Neutrals Monica I. Salis Stephanie Jeannette Charny Marc Elias Narotsky Hearing Site Boca Raton, FL Award Document 23-01342(4).pdf Documentum DocID 9909f550 Award […]
26-00058.pdf
26-00058.pdf Anonymous (not verified) Mon, 04/06/2026 – 18:45 Case ID 26-00058 Forum FINRA Document Type Award Claimants Michael Beers Respondents Morgan Stanley Neutrals Kathy A. Tatone Ira A. Auerbach Gerald H. Grayson Hearing Site Columbus, OH Award Document 26-00058.pdf Documentum DocID 41dd5c71 Award Date Official Mon, 04/06/2026 – 12:00 Related Content Off Claimant Representatives David […]
25-01257.pdf
25-01257.pdf Anonymous (not verified) Mon, 04/06/2026 – 18:45 Case ID 25-01257 Forum FINRA Document Type Award Claimants Mozelle Armijo Respondents Charles Schwab & Co., Inc. Neutrals Kirtley M. Thiesmeyer Hearing Site San Diego, CA Award Document 25-01257.pdf Documentum DocID 8005b941 Award Date Official Mon, 04/06/2026 – 12:00 Related Content Off Claimant Representatives Joshua B. Swigart […]
2019064531501 Great Point Capital LLC CRD 114203 AWC ks.pdf
2019064531501 Great Point Capital LLC CRD 114203 AWC ks.pdf Anonymous (not verified) Mon, 04/06/2026 – 16:05 Case ID 2019064531501 Document Number 6adc01f6 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Mon, 04/06/2026 – 12:00 Related Content Off Attachment 2019064531501 Great Point Capital LLC CRD 114203 AWC ks.pdf
2020067014002 J.P. Morgan Securities LLC CRD 79 AWC lp.pdf
2020067014002 J.P. Morgan Securities LLC CRD 79 AWC lp.pdf Anonymous (not verified) Mon, 04/06/2026 – 15:50 Case ID 2020067014002 Document Number 9edf938d Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Mon, 04/06/2026 – 12:00 Related Content Off Attachment 2020067014002 J.P. Morgan Securities LLC CRD 79 AWC lp.pdf
2024081924001 Paul D. Snow IV CRD 2963153 AWC ks.pdf
2024081924001 Paul D. Snow IV CRD 2963153 AWC ks.pdf Anonymous (not verified) Mon, 04/06/2026 – 15:45 Case ID 2024081924001 Document Number 80616e32 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Paul D. Snow IV Action Date Mon, 04/06/2026 – 12:00 Related Content Off Attachment 2024081924001 Paul D. Snow IV CRD 2963153 AWC ks.pdf […]
24-02451.pdf
24-02451.pdf Anonymous (not verified) Thu, 04/02/2026 – 17:30 Case ID 24-02451 Forum FINRA Document Type Award Claimants Michael Bradley Respondents Charles Schwab & Co., Inc. Neutrals Edith M. Novack Robert Elliot Harrison Mark Cuccaro Hearing Site New York, NY Award Document 24-02451.pdf Documentum DocID 13ded558 Award Date Official Thu, 04/02/2026 – 12:00 Related Content Off […]
25-02490.pdf
25-02490.pdf Anonymous (not verified) Thu, 04/02/2026 – 17:30 Case ID 25-02490 Forum FINRA Document Type Award Claimants OSAIC Wealth, Inc Respondents Ryan Peters Neutrals David S. Billet Hearing Site Jersey City, NJ Award Document 25-02490.pdf Documentum DocID 60a4aa86 Award Date Official Thu, 04/02/2026 – 12:00 Related Content Off Claimant Representatives Gregory M. Curley Respondent Representatives […]
23-00994.pdf
23-00994.pdf Anonymous (not verified) Thu, 04/02/2026 – 17:25 Case ID 23-00994 Forum FINRA Document Type Award Claimants Nelson Rodriguez Fernandez Respondents UBS Financial Services Inc. Neutrals Seth L. Finkel Hearing Site San Juan, PR Award Document 23-00994.pdf Documentum DocID 952e7b65 Award Date Official Thu, 04/02/2026 – 12:00 Related Content Off Claimant Representatives Roberto C. Quinones-Rivera […]
23-00139.pdf
23-00139.pdf Anonymous (not verified) Thu, 04/02/2026 – 17:25 Case ID 23-00139 Forum FINRA Document Type Award Claimants Daniel Olson Respondents Robinhood Financial, LLC. Robinhood Securities, LLC Neutrals Jonathan H. Krotinger John Burritt McArthur Bruce J Highman Hearing Site San Francisco, CA Award Document 23-00139.pdf Documentum DocID 5f29af37 Award Date Official Thu, 04/02/2026 – 12:00 Related […]
2019063696201 Ameriprise Financial Services, LLC CRD 6363 AWC ks.pdf
2019063696201 Ameriprise Financial Services, LLC CRD 6363 AWC ks.pdf Anonymous (not verified) Thu, 04/02/2026 – 16:05 Case ID 2019063696201 Document Number 1f4de368 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Thu, 04/02/2026 – 12:00 Related Content Off Attachment 2019063696201 Ameriprise Financial Services, LLC CRD 6363 AWC ks.pdf
24-01858(2).pdf
24-01858(2).pdf Anonymous (not verified) Wed, 04/01/2026 – 18:10 Case ID 24-01858 Forum FINRA Document Type Award Claimants Bobbie McRae Cathy Shubert Darryl McRae Elizabeth Palompo Elvis Miller John Sims Kay Sims Lacrecha Anderson Linda Sims Margaret Mayes Marilyn Atkinson Sandra Odol Sonja Mattingley Respondents Charles Schwab & Co., Inc. TD Ameritrade Clearing, Inc. TD Ameritrade, […]
2022077257802 Cambridge Investment Research, Inc. CRD 39543 AWC ks.pdf
2022077257802 Cambridge Investment Research, Inc. CRD 39543 AWC ks.pdf Anonymous (not verified) Wed, 04/01/2026 – 14:50 Case ID 2022077257802 Document Number 891545b2 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Wed, 04/01/2026 – 12:00 Related Content Off Attachment 2022077257802 Cambridge Investment Research, Inc. CRD 39543 AWC ks.pdf
MDF Law PLLC Comment On Regulatory Notice 26-06
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2022073322201 Chapin Davis CRD 28116 AWC lp.pdf
2022073322201 Chapin Davis CRD 28116 AWC lp.pdf Anonymous (not verified) Tue, 03/31/2026 – 16:35 Case ID 2022073322201 Document Number afa71230 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Tue, 03/31/2026 – 12:00 Related Content Off Attachment 2022073322201 Chapin Davis CRD 28116 AWC lp.pdf
The Neutral Corner – Volume 1—2026
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Cyber Threats & Effective Practices With FBI and Industry Experts
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25-01336.pdf
25-01336.pdf Anonymous (not verified) Tue, 03/31/2026 – 10:00 Case ID 25-01336 Forum FINRA Document Type Award Claimants Orion Willis Respondents Centaurus Financial, Inc. Neutrals Stephany Adriene Watson Patricia Ann Tracey Peter A.P. Dunlop Hearing Site Phoenix, AZ Award Document 25-01336.pdf Documentum DocID 08f64f32 Award Date Official Mon, 03/30/2026 – 12:00 Related Content Off Claimant Representatives […]
SR-FINRA-2026-007
SR-FINRA-2026-007 K30658 Mon, 03/30/2026 – 16:42 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to exempt specified collective trust funds (“CTFs”) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of […]
2024084458201 William Steven Cooke CRD 2107758 AWC lp.pdf
2024084458201 William Steven Cooke CRD 2107758 AWC lp.pdf Anonymous (not verified) Mon, 03/30/2026 – 16:00 Case ID 2024084458201 Document Number 2f1fbd6e Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals William Steven Cooke Action Date Mon, 03/30/2026 – 12:00 Related Content Off Attachment 2024084458201 William Steven Cooke CRD 2107758 AWC lp.pdf Individual CRD 2107758
25-02453.pdf
25-02453.pdf Anonymous (not verified) Mon, 03/30/2026 – 12:55 Case ID 25-02453 Forum FINRA Document Type Award Claimants Kelechi Ukazim Respondents Robinhood Financial, LLC. Robinhood Securities, LLC Neutrals Heather Gaile Layton Hearing Site Houston, TX Award Document 25-02453.pdf Documentum DocID 64e5c9e9 Award Date Official Fri, 03/27/2026 – 12:00 Related Content Off Claimant Representatives Kelechi C. Ukazim […]
25-01435.pdf
25-01435.pdf Anonymous (not verified) Mon, 03/30/2026 – 11:25 Case ID 25-01435 Forum FINRA Document Type Award Claimants Steven Schiller Respondents James McArthur Vincent Camarda Momentix Capital, Inc. Neutrals Eric Goldman Hearing Site New York, NY Award Document 25-01435.pdf Documentum DocID ee42ffb1 Award Date Official Thu, 03/26/2026 – 12:00 Related Content Off Claimant Representatives Kirk G. […]
SR-FINRA-2026-006
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25-01580.pdf
25-01580.pdf Anonymous (not verified) Fri, 03/27/2026 – 18:20 Case ID 25-01580 Forum FINRA Document Type Award Claimants Venu Reddy Respondents LPL Financial LLC Waddell & Reed Neutrals Leah Murray Albert Jon R Gray Rosetta Bernice Robins Hearing Site Kansas City, MO Award Document 25-01580.pdf Documentum DocID 2a921558 Award Date Official Fri, 03/27/2026 – 12:00 Related […]
24-02632.pdf
24-02632.pdf Anonymous (not verified) Fri, 03/27/2026 – 18:20 Case ID 24-02632 Forum FINRA Document Type Award Claimants Justin Rees Respondents Robert W. Baird & Co. Incorporated Neutrals F. Guthrie Castle Adam Michael Porter Peter M. Cosel Hearing Site Tampa, FL Award Document 24-02632.pdf Documentum DocID 03231914 Award Date Official Fri, 03/27/2026 – 12:00 Related Content […]
25-02261.pdf
25-02261.pdf Anonymous (not verified) Fri, 03/27/2026 – 18:20 Case ID 25-02261 Forum FINRA Document Type Award Claimants Ricardo Eboli-Kodesh Respondents UBS Financial Services Inc. Neutrals Roger C. Benson Sherry R. Wetsch Mark T Risner Hearing Site San Juan, PR Award Document 25-02261.pdf Documentum DocID 9d38224b Award Date Official Fri, 03/27/2026 – 12:00 Related Content Off […]
25-01803.pdf
25-01803.pdf Anonymous (not verified) Fri, 03/27/2026 – 18:20 Case ID 25-01803 Forum FINRA Document Type Award Claimants Rebecca Haubry Respondents Robinhood Financial, LLC. Neutrals Stephany Adriene Watson Hearing Site Seattle, WA Award Document 25-01803.pdf Documentum DocID a68a99ce Award Date Official Fri, 03/27/2026 – 12:00 Related Content Off Claimant Representatives Rebecca M Haubry Respondent Representatives Benjamin […]
SR-FINRA-2026-006
SR-FINRA-2026-006 K30658 Fri, 03/27/2026 – 14:43 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6272 (Character of Quotations) to modify the operation of the Alternative Display Facility (“ADF”) in light of SEC Regulation NMS’s new requirements related to […]
Steven B. Caruso Comment On Regulatory Notice 26-06
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Cyber Alert - Ongoing Phishing Campaign Impersonating FINRA Employees
Cyber Alert – Ongoing Phishing Campaign Impersonating FINRA Employees DixonR Thu, 03/26/2026 – 15:28 Impact: All Firms Member firms should be aware of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA employees. The goal of the threat actor is to trick the recipient into replying and participating in a Microsoft […]
2018057297102_Kolta_5324620_NAC_jhjr.pdf
2018057297102_Kolta_5324620_NAC_jhjr.pdf Anonymous (not verified) Thu, 03/26/2026 – 14:55 Case ID 2018057297102 Document Number 6473d201 Document Type NAC Decisions Individuals Mark Sam Kolta Action Date Fri, 03/13/2026 – 12:00 Related Content On Attachment 2018057297102_Kolta_5324620_NAC_jhjr.pdf Individual CRD 5324620
23-02063.pdf
23-02063.pdf Anonymous (not verified) Thu, 03/26/2026 – 14:35 Case ID 23-02063 Forum FINRA Document Type Award Claimants Richard Hall Sharon Hall Respondents Darien Bonney Neutrals Loren Scott Buell David S. Eisenberg David Alun Moody Hearing Site Phoenix, AZ Award Document 23-02063.pdf Documentum DocID d641f1c1 Award Date Official Thu, 03/26/2026 – 12:00 Related Content Off Claimant […]
25-02055.pdf
25-02055.pdf Anonymous (not verified) Thu, 03/26/2026 – 14:35 Case ID 25-02055 Forum FINRA Document Type Award Claimants Stephen Wedel Respondents LPL Financial LLC Neutrals Murray S. Levin Katherine Hendricks Alice E. Winkler Hearing Site Boca Raton, FL Award Document 25-02055.pdf Documentum DocID 06657280 Award Date Official Thu, 03/26/2026 – 12:00 Related Content Off Claimant Representatives […]
2023079613601 BTIG, LLC CRD 122225 AWC vrp.pdf
2023079613601 BTIG, LLC CRD 122225 AWC vrp.pdf Anonymous (not verified) Wed, 03/25/2026 – 13:20 Case ID 2023079613601 Document Number 877c0e87 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Wed, 03/25/2026 – 12:00 Related Content Off Attachment 2023079613601 BTIG, LLC CRD 122225 AWC vrp.pdf
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems
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2021073044801 Aegis Capital Corp. CRD 15007 AWC ks.pdf
2021073044801 Aegis Capital Corp. CRD 15007 AWC ks.pdf Anonymous (not verified) Tue, 03/24/2026 – 17:40 Case ID 2021073044801 Document Number 74eff189 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Tue, 03/24/2026 – 12:00 Related Content Off Attachment 2021073044801 Aegis Capital Corp. CRD 15007 AWC ks.pdf
25-01728.pdf
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25-01676.pdf
25-01676.pdf Anonymous (not verified) Mon, 03/23/2026 – 18:30 Case ID 25-01676 Forum FINRA Document Type Award Claimants Ramona Ivy Respondents Edward Jones Neutrals Leah Murray Albert Diane Ciccone Theresa Joan Rosenberg Hearing Site Los Angeles, CA Award Document 25-01676.pdf Documentum DocID c28ec509 Award Date Official Mon, 03/23/2026 – 12:00 Related Content Off Claimant Representatives Ryan […]
25-01584.pdf
25-01584.pdf Anonymous (not verified) Mon, 03/23/2026 – 18:30 Case ID 25-01584 Forum FINRA Document Type Award Claimants Adam Quarello Respondents Oppenheimer & Co., Inc. UBS Financial Services Inc. Neutrals Steven N. Ainbinder Steven H. Vogel Joseph J. Dougherty Hearing Site Los Angeles, CA Award Document 25-01584.pdf Documentum DocID bf44b6e6 Award Date Official Mon, 03/23/2026 – […]
Securities Arbitration Clinic at St. John’s University School of Law Comment On Regulatory Notice 26-02
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Bob Hansohn Comment On Regulatory Notice 26-06
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25-01127.pdf
25-01127.pdf Anonymous (not verified) Mon, 03/23/2026 – 12:45 Case ID 25-01127 Forum FINRA Document Type Award Claimants Frank Tenteromano Respondents J.P. Morgan Securities, LLC Neutrals Stephany Adriene Watson Catherine Esther Bocskor Peter M. Cosel Hearing Site New York, NY Award Document 25-01127.pdf Documentum DocID c3749981 Award Date Official Fri, 03/20/2026 – 12:00 Related Content Off […]
23-00824(2).pdf
23-00824(2).pdf Anonymous (not verified) Fri, 03/20/2026 – 18:15 Case ID 23-00824 Forum FINRA Document Type Order to Vacate Claimants Marc Torres Respondents Wells Fargo Clearing Services, LLC Neutrals Keely D. Parr Alfreida B. Kenny Rajeev Suresh Shah Hearing Site New York, NY Award Document 23-00824(2).pdf Documentum DocID 5f87e97b Award Date Official Thu, 03/20/2025 – 12:00 […]
24-01931.pdf
24-01931.pdf Anonymous (not verified) Fri, 03/20/2026 – 18:15 Case ID 24-01931 Forum FINRA Document Type Award Claimants Elton Simoes Respondents Truist Investment Services, Inc. Neutrals Patrick J. Halter Katherine L Sidener Frederick Allan Kaseburg Hearing Site Seattle, WA Award Document 24-01931.pdf Documentum DocID 0a433c0b Award Date Official Fri, 03/20/2026 – 12:00 Related Content Off Claimant […]
25-00176.pdf
25-00176.pdf Anonymous (not verified) Fri, 03/20/2026 – 18:15 Case ID 25-00176 Forum FINRA Document Type Award Claimants Mitchell Felton Respondents Fidelity Brokerage Services LLC Neutrals Steven Gerard Goerke Hearing Site Boca Raton, FL Award Document 25-00176.pdf Documentum DocID fe6b9a14 Award Date Official Fri, 03/20/2026 – 12:00 Related Content Off Claimant Representatives Kristian P. Kraszewski Respondent […]
2025088031501 Anthony Sica CRD 1332626 AWC ks.pdf
2025088031501 Anthony Sica CRD 1332626 AWC ks.pdf Anonymous (not verified) Fri, 03/20/2026 – 15:35 Case ID 2025088031501 Document Number 3e90b4fd Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Anthony Sica Action Date Fri, 03/20/2026 – 12:00 Related Content Off Attachment 2025088031501 Anthony Sica CRD 1332626 AWC ks.pdf Individual CRD 1332626
2022076038801 Stash Capital LLC CRD 287728 AWC ks.pdf
2022076038801 Stash Capital LLC CRD 287728 AWC ks.pdf Anonymous (not verified) Fri, 03/20/2026 – 14:55 Case ID 2022076038801 Document Number d234131f Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Fri, 03/20/2026 – 12:00 Related Content Off Attachment 2022076038801 Stash Capital LLC CRD 287728 AWC ks.pdf
25-01623.pdf
25-01623.pdf Anonymous (not verified) Thu, 03/19/2026 – 18:55 Case ID 25-01623 Forum FINRA Document Type Award Claimants Thomas Wangness Respondents Robinhood Financial, LLC. Neutrals Ian S. Greig Hearing Site Columbia, SC Award Document 25-01623.pdf Documentum DocID a53c8667 Award Date Official Thu, 03/19/2026 – 12:00 Related Content Off Claimant Representatives Thomas V Wangness Respondent Representatives Samer […]
2024081563501 Avinesh Shankar CRD 6232970 Order Accepting Offer of Settlement vrp.pdf
2024081563501 Avinesh Shankar CRD 6232970 Order Accepting Offer of Settlement vrp.pdf Anonymous (not verified) Thu, 03/19/2026 – 16:35 Case ID 2024081563501 Document Number 0b62393e Document Type Orders Accepting Offers of Settlement Individuals Avinesh Shankar Action Date Thu, 03/19/2026 – 12:00 Related Content On Attachment 2024081563501 Avinesh Shankar CRD 6232970 Order Accepting Offer of Settlement vrp.pdf […]
2021072094901 Alpaca Securities LLC CRD 288202 AWC ks.pdf
2021072094901 Alpaca Securities LLC CRD 288202 AWC ks.pdf Anonymous (not verified) Thu, 03/19/2026 – 16:30 Case ID 2021072094901 Document Number 99d32ed9 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Tue, 03/17/2026 – 12:00 Related Content Off Attachment 2021072094901 Alpaca Securities LLC CRD 288202 AWC ks.pdf
FINRA Makes Revised Communications Pilot Permanent
FINRA Makes Revised Communications Pilot Permanent K31999 Thu, 03/19/2026 – 15:48 Following a successful six-month pilot, FINRA will now allow all firms to voluntarily upload a revised retail marketing communication and have it reviewed free of charge. Part of our FINRA Forward initiative to empower member firm compliance, this new program is designed to reduce […]
Streamlining Data Requests While Enhancing Oversight
Streamlining Data Requests While Enhancing Oversight K31999 Thu, 03/19/2026 – 15:27 FINRA has unique access to data across markets and our membership. As part of FINRA Forward, we are evolving our procedures and harnessing technology to make better use of this data internally. This FINRA-wide effort has allowed us to reduce the volume and scope […]
2025086670901 Roger Roemmich CRD 1293322 AWC ks.pdf
2025086670901 Roger Roemmich CRD 1293322 AWC ks.pdf Anonymous (not verified) Wed, 03/18/2026 – 14:50 Case ID 2025086670901 Document Number 21769fdd Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Roger Roemmich Action Date Wed, 03/18/2026 – 12:00 Related Content Off Attachment 2025086670901 Roger Roemmich CRD 1293322 AWC ks.pdf Individual CRD 1293322
24-02162(2).pdf
24-02162(2).pdf Anonymous (not verified) Wed, 03/18/2026 – 13:10 Case ID 24-02162 Forum FINRA Document Type Order to Confirm Claimants Tyler Pratt Respondents RBC Capital Markets LLC Neutrals Steven H. Vogel Stephany Adriene Watson Kirtley M. Thiesmeyer Hearing Site Los Angeles, CA Award Document 24-02162(2).pdf Documentum DocID a1603779 Award Date Official Thu, 09/04/2025 – 12:00 Related […]
24-00438.pdf
24-00438.pdf Anonymous (not verified) Wed, 03/18/2026 – 12:20 Case ID 24-00438 Forum FINRA Document Type Award Claimants Sonenshine & Company LLC Sonenshine Partners LLC Respondents Cosmos Merger Sub Inc. Enghouse Interactive, Inc. Enghouse Systems Ltd Qumu Corporation Neutrals Karen J. Orlin Thomas M. Madden Charles L Brutten Hearing Site New York, NY Award Document 24-00438.pdf […]
Alexander Yon Comment On Regulatory Notice 26-02
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Regulatory Notice 26-08
Regulatory Notice 26-08 K30658 Wed, 03/18/2026 – 12:03 Summary In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that […]
25-00937.pdf
25-00937.pdf Anonymous (not verified) Tue, 03/17/2026 – 18:45 Case ID 25-00937 Forum FINRA Document Type Award Claimants Sue Van Der Linden Respondents Morgan Stanley Morgan Stanley & Co., LLC Neutrals Steven Gerard Goerke Nanci Sondra Landy Jason Allen Rosner Hearing Site Washington, DC Award Document 25-00937.pdf Documentum DocID c7f332ab Award Date Official Tue, 03/17/2026 – […]
25-00949.pdf
25-00949.pdf Anonymous (not verified) Tue, 03/17/2026 – 18:45 Case ID 25-00949 Forum FINRA Document Type Award Claimants Boustead Securities, LLC Respondents Moveaction Co., Ltd. Neutrals Jonathan H. Krotinger Mary Mackey Joseph Edward Floren Hearing Site San Francisco, CA Award Document 25-00949.pdf Documentum DocID ce330273 Award Date Official Tue, 03/17/2026 – 12:00 Related Content Off Claimant […]
24-01046.pdf
24-01046.pdf Anonymous (not verified) Tue, 03/17/2026 – 18:45 Case ID 24-01046 Forum FINRA Document Type Award Claimants Viktoriia Strange-Vitkovska Respondents NYLife Securities LLC Neutrals Steven N. Ainbinder Seth L. Finkel Linda J. Baer Hearing Site New York, NY Award Document 24-01046.pdf Documentum DocID 2cc6d95e Award Date Official Mon, 03/16/2026 – 12:00 Related Content Off Claimant […]
2021071714201 Spartan Capital Securities LLC CRD 146251_John Dennis Lowry CRD 4336146_Kim Marie Monchik CRD 2528972 Complaint ks.pdf
2021071714201 Spartan Capital Securities LLC CRD 146251_John Dennis Lowry CRD 4336146_Kim Marie Monchik CRD 2528972 Complaint ks.pdf Anonymous (not verified) Tue, 03/17/2026 – 15:40 Case ID 2021071714201 Document Number e143e11f Document Type Complaints Individuals John Dennis Lowry Kim Marie Monchik Action Date Tue, 03/17/2026 – 12:00 Related Content Off Attachment 2021071714201 Spartan Capital Securities LLC […]
25-01955.pdf
25-01955.pdf Anonymous (not verified) Tue, 03/17/2026 – 09:35 Case ID 25-01955 Forum FINRA Document Type Award Claimants Rayath Chowdhury Respondents SoFi Securities LLC Neutrals Mitchell Regenbogen Hearing Site New York, NY Award Document 25-01955.pdf Documentum DocID 6dab377e Award Date Official Mon, 03/16/2026 – 12:00 Related Content Off Claimant Representatives Rayath A. Chowdhury Respondent Representatives Dana […]
2023078062701 The Ultima Global Markets (USA), Inc., fka BCS Global Markets CRD 47895 AWC vrp.pdf
2023078062701 The Ultima Global Markets (USA), Inc., fka BCS Global Markets CRD 47895 AWC vrp.pdf Anonymous (not verified) Mon, 03/16/2026 – 18:45 Case ID 2023078062701 Document Number 7c466392 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Mon, 03/16/2026 – 12:00 Related Content Off Attachment 2023078062701 The Ultima Global Markets (USA), Inc., fka […]
Tosh Grebenik Comment On Regulatory Notice 26-06
Tosh Grebenik Comment On Regulatory Notice 26-06 fnrw-backend Mon, 03/16/2026 – 18:12 Tosh Grebenik Tosh Grebenik <tosh@judexlaw.com> Judex Law, LLC, Founder Regulatory Notice 26-06 Core Official Date Mon, 03/16/2026 – 12:00 Comment File Tosh Grebenik_Public Comment – Reg Notice 26-06.pdf
Will Murphy Comment On Regulatory Notice 26-06
Will Murphy Comment On Regulatory Notice 26-06 fnrw-backend Mon, 03/16/2026 – 18:00 Will Murphy FL US SettleNow@DisputeResolutionFL.com A. Forum Selection A(i) Customer Disputes A(i).1. Should certain categories of claims (e.g., of a certain complexity or value) or customer dispute types (e.g., those involving institutional customers or holders of institutional accounts) be subject to different requirements […]
Will Murphy Comment On Regulatory Notice 26-06
Will Murphy Comment On Regulatory Notice 26-06 fnrw-backend Mon, 03/16/2026 – 18:00 Will Murphy FL US SettleNow@DisputeResolutionFL.com For complex or unusually large claims, perhaps parties should be able to request a selection of arbitrators that all have had at least three cases go to an award after a final hearing. If all parties have agreed […]
2024081061001 VectorGlobal WMG, Inc. CRD 32396 AWC ks.pdf
2024081061001 VectorGlobal WMG, Inc. CRD 32396 AWC ks.pdf Anonymous (not verified) Mon, 03/16/2026 – 17:10 Case ID 2024081061001 Document Number d0668c44 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Mon, 03/16/2026 – 12:00 Related Content Off Attachment 2024081061001 VectorGlobal WMG, Inc. CRD 32396 AWC ks.pdf
24-01880.pdf
24-01880.pdf Anonymous (not verified) Fri, 03/13/2026 – 15:40 Case ID 24-01880 Forum FINRA Document Type Award Claimants William Van Pelt Respondents Stifel, Nicolaus & Co., Inc. Neutrals Susan L. Luck Alan Gradzki Arlene Simon Backman Hearing Site Charlotte, NC Award Document 24-01880.pdf Documentum DocID 3e073490 Award Date Official Fri, 03/13/2026 – 12:00 Related Content Off […]
22-01887.pdf
22-01887.pdf Anonymous (not verified) Fri, 03/13/2026 – 15:35 Case ID 22-01887 Forum FINRA Document Type Award Claimants DeJuan Lawrence Respondents E*Trade Securities LLC Neutrals Sheila D. Collins Leslie Trager Matthew Stephen Duchesne Hearing Site Washington, DC Award Document 22-01887.pdf Documentum DocID d0733109 Award Date Official Fri, 03/13/2026 – 12:00 Related Content Off Claimant Representatives DeJuan […]
25-01174.pdf
25-01174.pdf Anonymous (not verified) Fri, 03/13/2026 – 15:30 Case ID 25-01174 Forum FINRA Document Type Award Claimants Joel Barjenbruch Respondents D.H. Hill Securities, LLLP Neutrals Will Murphy Peter A.P. Dunlop George Pinckney Shingler Hearing Site Omaha, NE Award Document 25-01174.pdf Documentum DocID f8d4f997 Award Date Official Fri, 03/13/2026 – 12:00 Related Content Off Claimant Representatives […]
Reminder - TRACE Allocations
Technical Notice Reminder – TRACE Allocations March 13, 2026 MwinamoC Fri, 03/13/2026 – 11:13 As previously announced on February 5, 2026, beginning Monday, June 8, 2026, as described in Regulatory Notice 25-17, FINRA will introduce a new “Allocations” field across all TRACE products. This new field permits a firm that is both a broker-dealer and […]
24-00030.pdf
24-00030.pdf Anonymous (not verified) Fri, 03/13/2026 – 11:10 Case ID 24-00030 Forum FINRA Document Type Award Claimants StoneX Financial Inc. StoneX Group Inc. Respondents BTIG, LLC Neutrals Larry H. Irom Laura Anne Engelhardt Diane Elizabeth O’Connell Hearing Site New York, NY Award Document 24-00030.pdf Documentum DocID aad7561c Award Date Official Thu, 03/12/2026 – 12:00 Related […]
24-02593(3).pdf
24-02593(3).pdf Anonymous (not verified) Thu, 03/12/2026 – 17:00 Case ID 24-02593 Forum FINRA Document Type Motion to Vacate Claimants Wells Fargo Clearing Services, LLC Respondents Sterling Lane Neutrals Constance Ellen Boukidis Hearing Site Los Angeles, CA Award Document 24-02593(3).pdf Documentum DocID e349b356 Award Date Official Tue, 07/01/2025 – 12:00 Related Content On Claimant Representatives Pawel […]
25-01916.pdf
25-01916.pdf Anonymous (not verified) Thu, 03/12/2026 – 17:00 Case ID 25-01916 Forum FINRA Document Type Award Claimants Ron Bednarz Respondents Cadaret, Grant & Co., Inc. Neutrals Michael J. Ahlstrom Benjamin F. Breslauer Edward W. Morris Hearing Site Jersey City, NJ Award Document 25-01916.pdf Documentum DocID 71f0aa89 Award Date Official Thu, 03/12/2026 – 12:00 Related Content […]
2025083700301 Arcadia Securities LLC CRD 44656 AWC lp.pdf
2025083700301 Arcadia Securities LLC CRD 44656 AWC lp.pdf Anonymous (not verified) Thu, 03/12/2026 – 16:35 Case ID 2025083700301 Document Number 6e27c0b4 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Action Date Thu, 03/12/2026 – 12:00 Related Content Off Attachment 2025083700301 Arcadia Securities LLC CRD 44656 AWC lp.pdf
Monthly Disciplinary Actions - March 2026
Monthly Disciplinary Actions – March 2026 MwinamoC Thu, 03/12/2026 – 13:18
Update: Board of Governors March Meeting
Update: Board of Governors March Meeting K33357 Thu, 03/12/2026 – 10:51 March 12, 2026 The FINRA Board of Governors met last week in New York. It was the first meeting for Tim Carter, Dan Gallagher, and Heather Traeger, who were recently appointed as Governors along with Rostin “Russ” Behnam. I am pleased to share several updates […]
American Securities Association (ASA) Comment On Regulatory Notice 26-02
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Cliff Palefsky Comment On Regulatory Notice 26-06
Cliff Palefsky Comment On Regulatory Notice 26-06 fnrw-backend Wed, 03/11/2026 – 17:19 Cliff Palefsky CA US cp@mhpsf.com Attorney Until you make arbitration voluntary, this is all window dressing. Hard to believe the SEC never did the study required by Congress. Don’t allow dispositive motions, permit depositions and real discovery where appropriate. Regulatory Notice 26-06 Core […]
AI Adoption in Practice Webinar Series
AI Adoption in Practice Webinar Series K33357 Wed, 03/11/2026 – 10:01 Join FINRA staff and member firms for conversations about artificial intelligence (AI) adoption in the securities industry. This virtual three-part series brings regulatory experts and practitioners together to share real experiences and practical solutions. Contracts: Hear how firms are navigating consent, data usage rights […]
Webinar: Membership Application Program (MAP) Updates
Webinar: Membership Application Program (MAP) Updates K33357 Tue, 03/10/2026 – 17:44 Stay informed about significant changes to FINRA’s Membership Application Program (MAP). This webinar covers organizational and program updates, along with important information about Form NMA enhancements. Participants gain insight into the program’s direction and understand key improvements to the application process. Membership Application Program […]
25-00344.pdf
25-00344.pdf Anonymous (not verified) Tue, 03/10/2026 – 16:55 Case ID 25-00344 Forum FINRA Document Type Award Claimants Shattuck Lamm Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Louis H Miron Kevin R. Zehe Dianne Marie Onichimowski Hearing Site Los Angeles, CA Award Document 25-00344.pdf Documentum DocID fda1b500 Award Date Official Tue, 03/10/2026 – 12:00 […]
25-01765.pdf
25-01765.pdf Anonymous (not verified) Tue, 03/10/2026 – 16:50 Case ID 25-01765 Forum FINRA Document Type Award Claimants Alaina Cass Respondents Dan Bello Morgan Stanley Hearing Site Charlotte, NC Award Document 25-01765.pdf Documentum DocID 8d85ce65 Award Date Official Tue, 03/10/2026 – 12:00 Related Content Off Claimant Representatives Alaina Cass Respondent Representatives Andrew Joyce
23-03292.pdf
23-03292.pdf Anonymous (not verified) Tue, 03/10/2026 – 16:50 Case ID 23-03292 Forum FINRA Document Type Award Claimants LPL Financial LLC Respondents Eileen Cure Neutrals Denise Ereka Peterson Sylvia Ann Mayer Dawanna Jones Hearing Site Houston, TX Award Document 23-03292.pdf Documentum DocID ae2c8b25 Award Date Official Tue, 03/10/2026 – 12:00 Related Content Off Claimant Representatives Ellen […]
24-00978.pdf
24-00978.pdf Anonymous (not verified) Tue, 03/10/2026 – 16:10 Case ID 24-00978 Forum FINRA Document Type Award Claimants John Paffendorf Respondents UBS Financial Services Inc. Neutrals Mitchell Lee Lathrop Traci Lynn Sherrod Gary Patrick Poon Hearing Site San Diego, CA Award Document 24-00978.pdf Documentum DocID e3f6349e Award Date Official Mon, 03/09/2026 – 12:00 Related Content Off […]
SIFMA Comment On Regulatory Notice 26-02
SIFMA Comment On Regulatory Notice 26-02 fnrw-backend Tue, 03/10/2026 – 14:59 Lisa Bleier alicia.goldin@finra.org SIFMA Regulatory Notice 26-02 Core Official Date Tue, 03/10/2026 – 12:00 Comment File SIFMA submission on FINRA Reg Notice 26-02.pdf
Financial Services Institute, Inc. (FSI) Comment On Regulatory Notice 26-02
Financial Services Institute, Inc. (FSI) Comment On Regulatory Notice 26-02 fnrw-backend Mon, 03/09/2026 – 18:41 Andrew Hartnett a.hartnett@financialservices.org Financial Services Institute, Inc. (FSI) Regulatory Notice 26-02 Core Official Date Mon, 03/09/2026 – 12:00 Comment File FSI Comment Letter re Reg Notice 26-02 030926.pdf
North American Securities Administrators Association (NASAA) Comment On Regulatory Notice 26-02
North American Securities Administrators Association (NASAA) Comment On Regulatory Notice 26-02 fnrw-backend Mon, 03/09/2026 – 18:35 Marni Rock Gibson Dominique Kelly <dkelly@nasaa.org> North American Securities Administrators Association (NASAA) Regulatory Notice 26-02 Core Official Date Mon, 03/09/2026 – 12:00 Comment File NASAA Comment Letter re FINRA Reg Notice 26-02 (03-09-2026).pdf
CFP Board, the Financial Planning Association (FPA), and the National Association of Personal Financial Advisors (NAPFA) Comment On Regulatory Notice 26-02
CFP Board, the Financial Planning Association (FPA), and the National Association of Personal Financial Advisors (NAPFA) Comment On Regulatory Notice 26-02 fnrw-backend Mon, 03/09/2026 – 18:30 Anonymous Erin Koeppel <ekoeppel@cfpboard.org> CFP Board, the Financial Planning Association (FPA), and the National Association of Personal Financial Advisors (NAPFA) Regulatory Notice 26-02 Core Official Date Mon, 03/09/2026 – […]
Robinhood Financial LLC & Robinhood Securities, LLC Comment On Regulatory Notice 26-02
Robinhood Financial LLC & Robinhood Securities, LLC Comment On Regulatory Notice 26-02 fnrw-backend Mon, 03/09/2026 – 18:26 David Wagener david.wagener@robinhood.com Robinhood Financial LLC & Robinhood Securities, LLC Regulatory Notice 26-02 Core Official Date Mon, 03/09/2026 – 12:00 Comment File Robinhood Comment Letter On Regulatory Notice 26-02.pdf
Public Investors Advocate Bar Association (PIABA) Comment On Regulatory Notice 26-02
Public Investors Advocate Bar Association (PIABA) Comment On Regulatory Notice 26-02 fnrw-backend Mon, 03/09/2026 – 18:20 Jennifer Shaw jshaw@piaba.org Public Investors Advocate Bar Association (PIABA) Regulatory Notice 26-02 Core Official Date Mon, 03/09/2026 – 12:00 Comment File PIABA Comment FINRA 26-02.pdf
25-00529.pdf
25-00529.pdf Anonymous (not verified) Fri, 03/06/2026 – 17:50 Case ID 25-00529 Forum FINRA Document Type Award Claimants Jonathan Elliott Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Erik R. Siering Hearing Site Phoenix, AZ Award Document 25-00529.pdf Documentum DocID 78340954 Award Date Official Fri, 03/06/2026 – 12:00 Related Content Off Claimant Representatives Austin Davis […]
25-01501.pdf
25-01501.pdf Anonymous (not verified) Fri, 03/06/2026 – 17:45 Case ID 25-01501 Forum FINRA Document Type Award Claimants Scott Phillips Respondents Centaurus Financial, Inc. Neutrals Jim Geiger Gary E. Marcus Thomas P. Valenti Hearing Site Salt Lake City, UT Award Document 25-01501.pdf Documentum DocID b3c6f9e9 Award Date Official Fri, 03/06/2026 – 12:00 Related Content Off Claimant […]
24-02427.pdf
24-02427.pdf Anonymous (not verified) Fri, 03/06/2026 – 17:45 Case ID 24-02427 Forum FINRA Document Type Award Claimants Brian Mariash Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Theodore W. Wrobleski Andrew M. Mintzer Christopher J. Klein Hearing Site Tampa, FL Award Document 24-02427.pdf Documentum DocID 2feb6e19 Award Date Official Fri, 03/06/2026 – 12:00 Related […]
23-03614(2).pdf
23-03614(2).pdf Anonymous (not verified) Fri, 03/06/2026 – 17:45 Case ID 23-03614 Forum FINRA Document Type Motion to Confirm Claimants NYLife Securities LLC New York Life Insurance Company Respondents Brian Chicas Neutrals B. John Dill Hearing Site Boston, MA Award Document 23-03614(2).pdf Documentum DocID bef3b48e Award Date Official Mon, 06/03/2024 – 12:00 Related Content On Claimant […]
Reminder - TRACE Transition to Native FIX
Technical Notice Reminder – TRACE Transition to Native FIX March 06, 2026 DixonR Fri, 03/06/2026 – 15:04 As previously announced on October 15, 2025, December 22, 2025 and January 30, 2026, FINRA is transitioning from its legacy FIX Protocol platform to a new Native FIX platform for TRACE trade reporting. Firms are required to switch […]
25-00291.pdf
25-00291.pdf Anonymous (not verified) Thu, 03/05/2026 – 14:40 Case ID 25-00291 Forum FINRA Document Type Award Claimants The Leroy And Janelle Fischer Trust Respondents Daryl Calton Calton & Associates, Inc. Neutrals Charles G. Michaels Gary L Young Anne Marie O’Brien Hearing Site Omaha, NE Award Document 25-00291.pdf Documentum DocID b58b77b5 Award Date Official Thu, 03/05/2026 […]
SR-FINRA-2025-003
SR-FINRA-2025-003 K32984 Thu, 03/05/2026 – 12:19 Rule Filing Status: Approved Rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $300 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters. The proposed rule change also would make a […]
2025088109801 David N. Cohen CRD 5083883 AWC lp.pdf
2025088109801 David N. Cohen CRD 5083883 AWC lp.pdf Anonymous (not verified) Wed, 03/04/2026 – 19:20 Case ID 2025088109801 Document Number 96be25d2 Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals David N. Cohen Action Date Tue, 03/03/2026 – 12:00 Related Content Off Attachment 2025088109801 David N. Cohen CRD 5083883 AWC lp.pdf Individual CRD 5083883
2025088422001 Danish Rauf CRD 5006655 AWC lp.pdf
2025088422001 Danish Rauf CRD 5006655 AWC lp.pdf Anonymous (not verified) Wed, 03/04/2026 – 19:20 Case ID 2025088422001 Document Number 5767e81b Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Individuals Danish Rauf Action Date Wed, 03/04/2026 – 12:00 Related Content Off Attachment 2025088422001 Danish Rauf CRD 5006655 AWC lp.pdf Individual CRD 5006655
24-01858.pdf
24-01858.pdf Anonymous (not verified) Wed, 03/04/2026 – 18:50 Case ID 24-01858 Forum FINRA Document Type Award Claimants Bobbie McRae Cathy Shubert Darryl McRae Elizabeth Palompo Elvis Miller John Sims Kay Sims Lacrecha Anderson Linda Sims Margaret Mayes Marilyn Atkinson Sandra Odol Sonja Mattingley Respondents Charles Schwab & Co., Inc. TD Ameritrade Clearing, Inc. TD Ameritrade, […]
25-02317.pdf
25-02317.pdf Anonymous (not verified) Wed, 03/04/2026 – 18:50 Case ID 25-02317 Forum FINRA Document Type Award Claimants Vincent Mercaldi Respondents Charles Schwab & Co., Inc. Neutrals Stephanie E. Simmons Hearing Site Houston, TX Award Document 25-02317.pdf Documentum DocID 45dfbb4b Award Date Official Wed, 03/04/2026 – 12:00 Related Content Off Claimant Representatives Vincent Mercaldi Respondent Representatives […]
25-00638.pdf
25-00638.pdf Anonymous (not verified) Wed, 03/04/2026 – 18:50 Case ID 25-00638 Forum FINRA Document Type Award Claimants Todd Bendell Respondents Merrill Lynch Pierce Fenner & Smith Inc. Neutrals Roger A. Geddes Hearing Site Phoenix, AZ Award Document 25-00638.pdf Documentum DocID 0eb45766 Award Date Official Wed, 03/04/2026 – 12:00 Related Content Off Claimant Representatives Austin Davis […]
24-00915.pdf
24-00915.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 24-00915 Forum FINRA Document Type Award Claimants Ameriprise Financial Services, LLC. Respondents Mitchell McCann LPL Financial LLC Wesley McCann Neutrals Richard C. Downing Richard Edward Rassel John Klusinske Hearing Site Detroit, MI Award Document 24-00915.pdf Documentum DocID 1826ad54 Award Date Official Tue, 03/03/2026 – 12:00 […]
25-00727.pdf
25-00727.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 25-00727 Forum FINRA Document Type Award Claimants Eric Stiba Respondents Lion Street Financial, LLC Neutrals Evalyn Lipton Fishbein Debra Black Leo Jason Allen Rosner Hearing Site Dallas, TX Award Document 25-00727.pdf Documentum DocID 58dd7fc0 Award Date Official Tue, 03/03/2026 – 12:00 Related Content Off Claimant […]
24-01922.pdf
24-01922.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 24-01922 Forum FINRA Document Type Award Claimants Morgan Stanley Respondents Gary McCarthy Kwame Adusei Neutrals David J. Pollitzer Natalie Jennifer Bordeaux Lisa A Proskin Hearing Site Albany, NY Award Document 24-01922.pdf Documentum DocID 6911daf7 Award Date Official Mon, 03/02/2026 – 12:00 Related Content Off Claimant […]
25-00604.pdf
25-00604.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 25-00604 Forum FINRA Document Type Award Claimants Carolina Rida Jaafar Respondents J.P. Morgan Securities, LLC Neutrals Katherine Hendricks Mark R. Lee Neil Harvey Smith Hearing Site San Diego, CA Award Document 25-00604.pdf Documentum DocID 1f12b0dc Award Date Official Tue, 03/03/2026 – 12:00 Related Content Off […]
25-01878.pdf
25-01878.pdf Anonymous (not verified) Tue, 03/03/2026 – 18:25 Case ID 25-01878 Forum FINRA Document Type Award Claimants Juan Elwaw Respondents Morgan Stanley Neutrals Paul H. Lamboley Leon Fox Carol Maria Luttati Hearing Site Boca Raton, FL Award Document 25-01878.pdf Documentum DocID fe3d2dd2 Award Date Official Tue, 03/03/2026 – 12:00 Related Content Off Claimant Representatives Randi […]
09-03564.pdf
09-03564.pdf Anonymous (not verified) Mon, 03/02/2026 – 22:15 Case ID 09-03564 Forum FINRA Document Type Award Claimants Mark D. Oge and Linda K. Oge Respondents James Cox Neutrals William John Sommers Jacqueline Mae Goldberg Lynn L. Lightfoot Hearing Site New Orleans, LA Award Document 09-03564.pdf Documentum DocID ac23d2f7 Award Date Official Mon, 03/02/2026 – 12:00 […]
25-00190.pdf
25-00190.pdf Anonymous (not verified) Mon, 03/02/2026 – 22:15 Case ID 25-00190 Forum FINRA Document Type Award Claimants Carson Strategic Management LLC Carson Strategic Derivatives, L.P. Respondents Marex Capital Markets Inc. Neutrals Michael David Broder Ruth M. Moore Francis Vincent Cristiano Hearing Site Denver, CO Award Document 25-00190.pdf Documentum DocID 14ac3718 Award Date Official Mon, 03/02/2026 […]
24-02417.pdf
24-02417.pdf Anonymous (not verified) Mon, 03/02/2026 – 22:15 Case ID 24-02417 Forum FINRA Document Type Award Claimants Yvan Cao Respondents Edward Jones Neutrals Roger M. Deitz Randy R. Maher Donna Ross Philip Hearing Site Los Angeles, CA Award Document 24-02417.pdf Documentum DocID a558cb89 Award Date Official Mon, 03/02/2026 – 12:00 Related Content Off Claimant Representatives […]
Sigma Financial Corporation and Parkland Securities, LLC Comment On Regulatory Notice 26-02
Sigma Financial Corporation and Parkland Securities, LLC Comment On Regulatory Notice 26-02 fnrw-backend Mon, 03/02/2026 – 18:06 Randolph F. Pistor MI US rpistor@axtella.com Sigma Financial Corporation and Parkland Securities, LLC Regulatory Notice 26-02 Core Official Date Mon, 03/02/2026 – 12:00 Comment File Sigma Financial Corporation and Parkland Securities, LLC Comments on Regulatory Notice 26-02.pdf
Catherine Mustico Comment On Regulatory Notice 26-02
Catherine Mustico Comment On Regulatory Notice 26-02 fnrw-backend Mon, 03/02/2026 – 18:02 Catherine Mustico NY US catherine.mustico@fundamentalcc.com Regulatory Notice 26-02 Core Official Date Mon, 03/02/2026 – 12:00 Comment File Comment Letter on Regulatory Notice 26.pdf
25-01450.pdf
25-01450.pdf Anonymous (not verified) Fri, 02/27/2026 – 19:00 Case ID 25-01450 Forum FINRA Document Type Award Claimants Kevin Bailey Respondents Charles Schwab & Co., Inc. Neutrals Patricia Ann Tracey Barry David Thorpe Susan L. Walker Hearing Site Phoenix, AZ Award Document 25-01450.pdf Documentum DocID 78509b13 Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off […]
25-01168.pdf
25-01168.pdf Anonymous (not verified) Fri, 02/27/2026 – 19:00 Case ID 25-01168 Forum FINRA Document Type Award Claimants Karl Jones Respondents Fidelity Brokerage Services LLC Neutrals Karen Roberts Washington Hearing Site Houston, TX Award Document 25-01168.pdf Documentum DocID 9f79ac08 Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off Claimant Representatives Karl Lorenzo Jones Respondent Representatives […]
25-02136.pdf
25-02136.pdf Anonymous (not verified) Fri, 02/27/2026 – 16:10 Case ID 25-02136 Forum FINRA Document Type Award Claimants Lawrence Davis Respondents E*Trade Securities LLC Neutrals William W. Haskell Hearing Site Honolulu, HI Award Document 25-02136.pdf Documentum DocID ffca5b9b Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off Claimant Representatives Lawrence A. Davis Respondent Representatives Alan […]
24-02598.pdf
24-02598.pdf Anonymous (not verified) Fri, 02/27/2026 – 15:55 Case ID 24-02598 Forum FINRA Document Type Award Claimants Alexa Marchisotto Jonathan Marchisotto Michael Marchisotto Respondents Fidelity Brokerage Services LLC Neutrals Jeffrey Alan Helewitz Howard Alan Grinsberg Kevin K Walsh Hearing Site Jersey City, NJ Award Document 24-02598.pdf Documentum DocID f89d61b2 Award Date Official Fri, 02/27/2026 – […]
24-02667.pdf
24-02667.pdf Anonymous (not verified) Fri, 02/27/2026 – 15:55 Case ID 24-02667 Forum FINRA Document Type Award Claimants Joseph Rallo Respondents D. Boral Capital Neutrals Kimberly C. Lawrence Harvey E. Benjamin Angela Jameson Hearing Site New York, NY Award Document 24-02667.pdf Documentum DocID ea13d48d Award Date Official Fri, 02/27/2026 – 12:00 Related Content Off Claimant Representatives […]
25-01411(1).pdf
25-01411(1).pdf Anonymous (not verified) Thu, 02/26/2026 – 17:45 Case ID 25-01411 Forum FINRA Document Type Award Claimants Michael Norton Respondents David Lerner Associates, Inc. Neutrals Michael J. Meeusen John James McGovern Ronald Harris Kisner Hearing Site New York, NY Award Document 25-01411(1).pdf Documentum DocID d2b34e9c Award Date Official Mon, 01/05/2026 – 12:00 Related Content Off […]
25-02263.pdf
25-02263.pdf Anonymous (not verified) Thu, 02/26/2026 – 13:35 Case ID 25-02263 Forum FINRA Document Type Award Claimants Robert Cohen Respondents Stifel, Nicolaus & Co., Inc. Neutrals Ted M. Rosen Richard E. Lauziere Marilee Roberg Hearing Site New York, NY Award Document 25-02263.pdf Documentum DocID 0dbbd8a6 Award Date Official Thu, 02/26/2026 – 12:00 Related Content Off […]
24-02390.pdf
24-02390.pdf Anonymous (not verified) Thu, 02/26/2026 – 12:00 Case ID 24-02390 Forum FINRA Document Type Award Claimants Mark Aizenberg Timothy Johnson Respondents Wells Fargo Clearing Services, LLC Neutrals Helen Marinak Blohm Carol Ann Jensen Ralph L. Jacobson Hearing Site San Francisco, CA Award Document 24-02390.pdf Documentum DocID 80b5cd9f Award Date Official Wed, 02/25/2026 – 12:00 […]
25-01674.pdf
25-01674.pdf Anonymous (not verified) Thu, 02/26/2026 – 12:00 Case ID 25-01674 Forum FINRA Document Type Award Claimants Jared Hoffman Respondents Ameriprise Financial Services, LLC Neutrals James W. Kerr Robert J. Buchner Geoffrey A. Drucker Hearing Site Columbus, OH Award Document 25-01674.pdf Documentum DocID 0467e2c9 Award Date Official Wed, 02/25/2026 – 12:00 Related Content Off Claimant […]
SR-FINRA-2026-005
SR-FINRA-2026-005 K32984 Thu, 02/26/2026 – 10:33 Rule Filing Status: Filed for Immediate Effectiveness Rule change to amend FINRA Rules 6380A and 6380B regarding the operation of the FINRA/Nasdaq Trade Reporting Facility Carteret, the FINRA/Nasdaq Trade Reporting Facility Chicago, and the FINRA/NYSE Trade Reporting Facility to provide a limited, temporary exception from reporting specified overnight transactions […]
SR-FINRA-2026-005
SR-FINRA-2026-005 MwinamoC Wed, 02/25/2026 – 17:55 Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 6380A and 6380B regarding the operation of the FINRA/Nasdaq Trade Reporting Facility Carteret, the FINRA/Nasdaq Trade Reporting Facility Chicago, and the FINRA/NYSE Trade Reporting […]
25-01146.pdf
25-01146.pdf Anonymous (not verified) Wed, 02/25/2026 – 17:05 Case ID 25-01146 Forum FINRA Document Type Award Claimants Edward Bacher Respondents Voya Financial Advisors, Inc. Neutrals F. Guthrie Castle Mary C. Davis Christopher M. McMurray Hearing Site Columbus, OH Award Document 25-01146.pdf Documentum DocID bc44fe12 Award Date Official Wed, 02/25/2026 – 12:00 Related Content Off Claimant […]
25-02104.pdf
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