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FINRA Awards for Ameritas Investment Corp.

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0319304/25/2019Claimant(s): Junfeng Song
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Independent Financial Group., Ameritas Investment Corp.
Respondent Lawyers(s): Andrea Snowden, Edward Zusman
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
Checkmark IconExpungement
17-0207106/18/2018Claimant(s): Daniel Gallagher, Theresa Gallagher
Claimant Lawyers(s): David Neuman
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
Checkmark IconDismissed by Rule 12206
14-0324107/14/2015Claimant(s): Samuel Lam
Claimant Lawyers(s): Mark Maddox
Respondent(s): Robert Gianchiglia, Ameritas Investment Corp., Investors Capital Corp.
Respondent Lawyers(s): Gara M. Seagraves, James A. McGovern
Arbitrator(s): James F. Carlson, Angela R. Murphy, Martin A. Duncan
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12206
12-0311611/06/2013Claimant(s): Denise Hill
Claimant Lawyers(s): Gail E Boliver
Respondent(s): James Roberts, Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams, James Roberts
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
Checkmark Icon$37,200
11-0142407/12/2013Claimant(s): Mary Anne Barreiro
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Anthony Vlahiotis, George Carathimas, Ameritas Investment Corp.
Respondent Lawyers(s): David Wakukawa, Louis H. Castoria, Richard Sacks
Arbitrator(s): Richard L. Rubin, Nick G. Tarlson, George King
Hearing Site: San Francisco, CA
Checkmark IconExpungement
11-0407112/31/2012Claimant(s): Donald J. Kinosian DDS Inc. PS Plan
Claimant Lawyers(s): Richard Sacks
Respondent(s): Anthony Vlahiotis, Ameritas Investment Corp.
Respondent Lawyers(s): Amanpreet Kaur, Anthony Tom Vlahiotis
Arbitrator(s): Lester Friedman, Paul D. Gutierrez, John B. Weingart
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0032508/30/2012Claimant(s): Martin Brookes
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Ivar Jones, Matthew Dolan, Ameritas Investment Corp.
Respondent Lawyers(s): Kavya Mohankumar
Arbitrator(s): Frank R Weaver, David R. Finch, Mark R. Topper
Hearing Site: San Francisco, CA
Checkmark IconExpungement
06-0499301/15/2009Claimant(s): Maureen Madonna, Raymond Madonna
Claimant Lawyers(s): Marc A. Schifanelli
Respondent(s): Diana McKinney, Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams, Diana McKinney
Arbitrator(s): Sandra Lee Dolan, Jane F. Moore, John Joseph Hentschel, CRE, MAI, FRICS
Hearing Site: Baltimore, MD
Checkmark IconSettlement

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