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

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

23-01913 Michael Thomas Dieschbourg vs. UBS Financial Services Inc.

N/A

OUTCOME: Granted

23-01956 Michael Lee Escobar vs. Sagepoint Financial, Inc.

N/A

OUTCOME: Granted

23-02722 Sneha Neela Mahajan vs. UBS Financial Services Inc.

N/A

OUTCOME: Granted

23-02772 Inderpal Singh Anand vs. Ameriprise Financial Services, LLC

N/A

OUTCOME: Granted

23-03002 Francis John Łojewski, Jr. vs. Nationwide Securities LLC

N/A

OUTCOME: Granted

23-03040 Michael Kenneth Depasquale vs. Nationwide Securities, LLC and M Holdings Securities, Inc.

N/A

OUTCOME: Granted

23-02975 David Joseph Scranton vs. Park Avenue Securities LLC

N/A

OUTCOME: Granted

23-03564 Mark Allen Barrand vs. Cetera Advisors LLC and Ameriprise Financial Services, LLC

N/A

OUTCOME: Pending