20-02267 Michael Joseph Marshall vs. J.P. Morgan Securities, LLC

Nov 23, 2020

OUTCOME: Granted

19-03294 Robert Wayne Warther vs. Securities America, Inc.

Apr 07, 2020

OUTCOME: Granted

23-01274 David Wilson Mcadams vs. WFG Investments, Inc.

N/A

OUTCOME: Granted

23-01261 William Eugene Groves vs. J.P. Morgan Securities LLC

N/A

OUTCOME: Granted

23-01257 Andrew Jason Schroeder vs. Cetera Advisors LLC

N/A

OUTCOME: Granted

23-01097 Joao Carlos Bastos vs. Citigroup Global Markets, Inc.

N/A

OUTCOME: Pending

23-00505 David Butler Wentz vs. Ameritas Investment Company, LLC

N/A

OUTCOME: Granted

16-03315 Simeon J Dabkovich, The Dabkovich Family Trust UAD 01/02/10, and Evonne Dabkovich vs. Foothill Securities, Inc., et al.

N/A

OUTCOME: Settled

Customer Dispute

16-03629 Terrance Cassidy on Behalf of His IRA vs. H. Beck, Inc.

N/A

OUTCOME: Settled

Customer Dispute

16-03577 Elizabeth P Hoffmann vs. Wells Fargo Advisors, LLC

N/A

OUTCOME: Settled

Customer Dispute