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FINRA Awards for Craig D. Cook

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0217912/11/2019Claimant(s): Mark Munizzi
Claimant Lawyers(s): Steven P Gomberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Donald M. Thompson, Craig D. Cook, Lisa M. Krimen
Hearing Site: Chicago, IL
13-0254407/12/2017Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Rick Konecny
Respondent Lawyers(s): Rick Douglas Konecny
Arbitrator(s): Michael S. Matek, Michael F. Jordan, Craig D. Cook
Hearing Site: Chicago, IL
13-0203003/19/2014Claimant(s): Citigroup Global Markets., John Serna, Steven Forde
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Arthur Rowland, Cora Rowland
Respondent Lawyers(s): Tauya Johnson
Arbitrator(s): Donald W. McKenzie, Pamela A. Kentra, Craig D. Cook
Hearing Site: Chicago, IL
Expungement

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