| 20-03646 | 04/07/2023 | Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
|  | Expungement |
| 21-01422 | 02/22/2023 | Claimant(s): Charles Nino, Doreen Filomena, Heather Bily, Charles J. Nino IRA, Duane A. Bily IRA, Heather M. Bily IRA, Patricia A. Bily IRA, Sabrina L. Nino IRA, The Bily Charitable Remainder Unitrust, The Bily Family Trust UAD 12/23/96
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Ron Purvines, Cetera Advisors LLC
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Barbara M. Zak, Avery B. Goodman, Ann H. Nevers
Hearing Site: Las Vegas, NV
| | Expungement |
| 21-00305 | 08/31/2022 | Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
| | Expungement |
| 18-00118 | 11/05/2021 | Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
| | Stipulated Award |
| 18-03605 | 08/23/2019 | Claimant(s): Mary Harger
Claimant Lawyers(s): Victor J. Segale
Respondent(s): Collin Fingon, Cetera Advisors LLC
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): John James McGovern
Hearing Site: Montpelier, VT
| | $0 |
| 18-02210 | 10/17/2018 | Claimant(s): Howard King
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Jeffry L. Perlman
Hearing Site: Washington, DC
| | $44,100 |
| 17-00842 | 08/22/2018 | Claimant(s): Tafney Snowden, I.R.A., Tafney Snowden and William E. Coen
Claimant Lawyers(s): William E. Coen
Respondent(s): Bernard Breton, Brett Harrison, David Martin, Gerald Harvey, Paul Ewing, Cetera Advisors LLC
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Mark S. Foster, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
| | Expungement |
| 15-01311 | 03/16/2016 | Claimant(s): Suzanne Taylor
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Mary M. O'Neil, Daniel Lawrence Pearlman, Michael Joseph Desmond
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer
Claimant Lawyers(s): John P. Connolly
Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford
Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman
Hearing Site: Washington, DC
| | $0 |
| 13-01619 | 06/24/2014 | Claimant(s): Charles Liotta Trust dtd 3/8/94
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): John Kincaid, Cetera Advisors LLC
Respondent Lawyers(s): Stanley C. Morris
Arbitrator(s): Richard L. Rubin
Hearing Site: San Francisco, CA
| | Expungement |
