| 20-03256 | 08/31/2021 | Claimant(s): The Sorkin Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Gayle B. Carlson, Alan E. Linden, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
|  | Dismissed by Rule 12206 |
| 18-02347 | 11/06/2018 | Claimant(s): Ji Qiao Liang and Yuet Chun F Liang JT
Claimant Lawyers(s): Sherwin S Louie
Respondent(s): Carmen Iao, Cetera Investment Services LLC.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
| | $1,016 |
| 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 |
| 13-01436 | 07/30/2014 | Claimant(s): David Hamaker, Ruth Hamaker
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Jeffrey Graunke, Securities America.
Respondent Lawyers(s): Benjamin J. Biard, Elaine M. Rice
Arbitrator(s): Robert J. Walter
Hearing Site: Orlando, FL
| | Expungement |
| 10-04445 | 09/02/2011 | Claimant(s): Evanna Ondeck Cohen Rev Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): John R. Pepe, Benjamin L. Abramowitz, Harvey Alan Blicksilver
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
