| 22-02627 | 08/07/2023 | Claimant(s): Kirby McDonald
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
| | |
| 21-01972 | 10/25/2022 | Claimant(s): Jess Hurst
Claimant Lawyers(s): Brian P. Nally
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynn Hirschfeld Brahin, Scott C. Matasar, David Arnold
Hearing Site: Cleveland, OH
| | |
| 20-02451 | 04/19/2021 | Claimant(s): Brian Thomas
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-01414 | 12/04/2020 | Claimant(s): Michael Nielson
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 19-02287 | 11/09/2020 | Claimant(s): Jess Hurst
Claimant Lawyers(s): Brian P. Nally
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael S. Matek
Hearing Site: Cleveland, OH
| | |
| 19-03379 | 06/16/2020 | Claimant(s): Kevin Sanderford
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC, Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein, Sara B. Davis
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 19-01962 | 02/18/2020 | Claimant(s): Jahanguir Azodi
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc, Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Carr, Shelley Davenport
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 19-01494 | 12/24/2019 | Claimant(s): Tyler Harrelson
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Sagepoint Financial., Cetera Advisors LLC
Respondent Lawyers(s): Benjamin J. Biard, Gregory Curley
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
| 18-04037 | 09/16/2019 | Claimant(s): Erinn Ford
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Jeremy Carr, Tony Pizelo
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 18-01228 | 11/02/2018 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Chase Investment Services Corp., Cetera Advisors LLC
Respondent Lawyers(s): Christina Vourakis, Thomas J. Cahill
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
