24-01246 Joseph C Bowden vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated

N/A

OUTCOME: Pending

23-03564 Mark Allen Barrand vs. Cetera Advisors LLC

N/A

OUTCOME: Pending

17-02250 Israel Sporn vs. J.P. Morgan Securities, LLC and David Lerner Associates, Inc.

N/A

OUTCOME: Settled

Customer Dispute

22-02659 Changuttuvan Surendran vs. Continental Broker-Dealer Corp.

N/A

OUTCOME: Granted

22-02675 Kristina Kimi Nichols vs. Merrilly Lynch, Pierce, Fenner & Smith Incorporated

N/A

OUTCOME: Granted

23-00184 Todd Christian Smith vs. LPL Financial LLC and Citigroup Global Markets, Inc.

N/A

OUTCOME: Granted

22-01797 Mary Turner Moose vs. Cetera Advisors LLC

N/A

OUTCOME: Pending

22-01788 Loizos Sergios Kapnisi vs. TIAA-CREF Individual & Institutional Services, LLC

N/A

OUTCOME: Granted

22-02238 Joseph C Bowden vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated

N/A

OUTCOME: Granted

21-00688 Kay E Berglund vs. Cetera Advisor Networks LLC

N/A

OUTCOME: Settled

Customer Dispute