| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 23-01642 | Claimant(s): Maria Giatzikis
Claimant Representative(s): Joseph P. Allgor
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Representative(s): Christopher C. Coss
Neutral(s): Bryan Lane Berson
Hearing Site: New York, NY
|
Award | FINRA | 04/19/2024 |
| 23-01309 | Claimant(s): Eli Ward
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): David A. Schuler
Hearing Site: Kansas City, MO
|
Award | FINRA | 04/19/2024 |
| 23-03037 | Claimant(s): Gerard Costello
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melissa J. Gworek
Neutral(s): Andrew M. Schmertz
Hearing Site: New York, NY
|
Award | FINRA | 04/19/2024 |
| 23-03051 | Claimant(s): Sanford C. Bernstein & Co., LLC, AllianceBernstein, L.P.
Claimant Representative(s): Christopher C. Coss
Respondent(s): Charles Lynch, Elijah Dornstreich, UBS Financial Services Inc., Ryan DePaul
Respondent Representative(s): Gary J. Lieberman, James L. Komie
Neutral(s): Richard Lewis Zack, Colin Bell, Hope A. Comisky
Hearing Site: Philadelphia, PA
|
Award | FINRA | 04/19/2024 |
| 23-01143 | Claimant(s): Elizabeth Stancil
Claimant Representative(s): Dochtor Kennedy
Respondent(s): First Citizens Investor Services, Inc.
Respondent Representative(s): Kyle A. Owens
Neutral(s): Ian S. Greig
Hearing Site: Raleigh, NC
|
Award | FINRA | 04/18/2024 |
| 23-02977 | Claimant(s): Daniel Klemm
Claimant Representative(s): Anthony Paduano
Respondent(s): Centaurus Financial, Inc.
Respondent Representative(s): Michael J. Carey
Neutral(s): Harvey R. Linder
Hearing Site: Columbia, SC
|
Award | FINRA | 04/18/2024 |
| 23-02652 | Claimant(s): Joseph Silich
Claimant Representative(s): Bruce Lewitas
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Susanne J. Hollander, Felice Janine Batlan, Adrienne Michelle Adams
Hearing Site: Chicago, IL
|
Award | FINRA | 04/18/2024 |
| 23-02521 | Claimant(s): Ernesto Angueira
Claimant Representative(s): Benjamin J. Biard
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): John Murphy
Neutral(s): Paul A. Holmes, Louis David Huss, Gregg William McClosky
Hearing Site: Boca Raton, FL
|
Award | FINRA | 04/18/2024 |
| 23-02956 | Claimant(s): Tatyana Bunich
Claimant Representative(s): Robert Moses
Respondent(s): Independent Financial Group, LLC.
Respondent Representative(s): Sarah J. Kreisman
Neutral(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
|
Award | FINRA | 04/18/2024 |
| 23-00929 | Claimant(s): Sonia Pou Monagas
Claimant Representative(s): Roberto C. Quinones-Rivera
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 | 04/18/2024 |
| 23-01849 | Claimant(s): Brian Hagen
Claimant Representative(s): James P. Galvin
Respondent(s): Concourse Financial Group Securities
Respondent Representative(s): Kathryn Roe Eldridge
Neutral(s): Michael S. Yauch
Hearing Site: Houston, TX
|
Award | FINRA | 04/18/2024 |
| 23-03040 | Claimant(s): Michael Depasquale
Claimant Representative(s): James P. Galvin
Respondent(s): M Holdings Securities, Inc., Nationwide Securities, LLC
Respondent Representative(s): Daniela Paez, Jason D. Christian
Neutral(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
|
Award | FINRA | 04/18/2024 |
| 23-02331 | Claimant(s): Mark Frederick
Claimant Representative(s): Brian Luther
Respondent(s): First Allied Securities, Inc.
Respondent Representative(s): Jeremy Wooden
Neutral(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
|
Award | FINRA | 04/17/2024 |
| 22-02894 | Claimant(s): Peggy Hedgren
Claimant Representative(s): Jennifer P. Farrar
Respondent(s): Edward Jones
Respondent Representative(s): Donald R. Littlefield
Neutral(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares
Hearing Site: Houston, TX
|
Award | FINRA | 04/17/2024 |
| 22-01836 | Claimant(s): Bula Land Trucking LLC C/O Eugene Bula
Claimant Representative(s): David B. Vermont
Respondent(s): Stephen Marek, Joseph Gunnar & Co. LLC
Respondent Representative(s): John E. Lawlor
Neutral(s): Mark A. Frankel, Mark Richard Cummisford, Nathaniel Cade
Hearing Site: Milwaukee, WI
|
Award | FINRA | 04/17/2024 |
