Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-02084 | 03/29/2022 | Claimant(s): Tian Lu Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Smansa Chu, Cetera Investment Services LLC Respondent Lawyers(s): Christina Z. Vourakis Arbitrator(s): Michael Harrison Hearing Site: Los Angeles, CA |  | Expungement |
| 19-00367 | 05/13/2020 | Claimant(s): Steve Smith Claimant Lawyers(s): Mark S. Simms Respondent(s): Miles James, Cetera Investment Services LLC Respondent Lawyers(s): Christina Z. Vourakis, Jeremy A. Root Arbitrator(s): Barry Goldman Hearing Site: St. Louis, MO | | $0 |
| 17-03377 | 01/06/2020 | Claimant(s): Danya Heroman Claimant Lawyers(s): Michael M. Thompson Respondent(s): Robert Smith, Cetera Investment Services LLC Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): Frank M Romano Hearing Site: New Orleans, LA | | Dismissed by Rule 12212(c) |
| 18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido Claimant Lawyers(s): Lars Soreide Respondent(s): LPL Financial LLC, Cetera Investment Services LLC Respondent Lawyers(s): David J. Freniere, Sean T. Needham Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas Hearing Site: Houston, TX | | Expungement |
| 15-01699 | 08/12/2016 | Claimant(s): Hoang Vu Claimant Lawyers(s): Hoang Huy Vu Respondent(s): Cetera Investment Services LLC Respondent Lawyers(s): Mauricio S. Beugelmans Arbitrator(s): Jonathan H. Krotinger Hearing Site: San Francisco, CA | | $0 |