| 17-03205 | 07/19/2018 | Claimant(s): David Garrison
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Kansas City, MO
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| 17-03116 | 05/24/2018 | Claimant(s): Michael Chadwick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
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| 17-03195 | 04/11/2018 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Richard Blythe
Respondent Lawyers(s): Bruce R. Heurlin
Arbitrator(s): Steven M. Guttell
Hearing Site: Phoenix, AZ
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| 17-01120 | 12/22/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Thomas Ambrose
Respondent Lawyers(s): Thomas Kevin Ambrose
Arbitrator(s): Morton S. Bunis
Hearing Site: Wilmington, DE
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| 17-01778 | 11/07/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Terry Bahgat
Respondent Lawyers(s): Terry Dean Bahgat
Arbitrator(s): Robert J. Scafuri
Hearing Site: Buffalo, NY
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| 14-01797 | 06/14/2017 | Claimant(s): Fulcrum Advisory Services, Fulcrum Securities
Claimant Lawyers(s): Gregory A. Friedman, Michelle L. Carey
Respondent(s): Brian Bloxom, Donald Megliola, Lindsay Snyder, Meredith Hazen, Michael Kissinger, Cambridge Investment Research., Sunrise Wealth Partners
Respondent Lawyers(s): John P. Connolly, Miles Jarrad Wright, Pat S. Conti, Robert C. Nagle
Arbitrator(s): Mary E. Woytek, Susan A. Mathews, Leslie Trager
Hearing Site: Washington, DC
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| 16-02715 | 05/25/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Samuel Y. Edgerton
Respondent(s): Johan Frisell
Respondent Lawyers(s): Johan Henrik Frisell
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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| 16-02282 | 01/06/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kay Oskvig
Respondent(s): Steven Wisniewski
Respondent Lawyers(s): Steven Michael Wisniewski
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
| | |
| 16-01874 | 12/08/2016 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kay Oskvig
Respondent(s): Richard Ward
Respondent Lawyers(s): Richard Leon Ward
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
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| 16-00120 | 11/03/2016 | Claimant(s): Candice Hutton
Claimant Lawyers(s): Candice Joy Hutton
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): John S. Lutz, Charles G. Michaels, Suanne M. Parro
Hearing Site: Denver, CO
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