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FINRA Awards for Cetera Advisor Networks LLC

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0110308/01/2023Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan
Claimant Lawyers(s): Sanford Mitchell Passman
Respondent(s): Herbert Messick, Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
21-0084412/20/2021Claimant(s): Donald Murray, Patricia Murray
Claimant Lawyers(s): Dietrich P. Epperson
Respondent(s): Kimberly Enders, Steven Enders, Cetera Advisor Networks LLC, Summit Brokerage Services.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
Checkmark IconExpungement
20-0325608/31/2021Claimant(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
Checkmark IconDismissed by Rule 12206
16-0267105/01/2018Claimant(s): Estate of Agnes Marks
Claimant Lawyers(s): Jenice Malecki
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): William G. Binckes, Stuart E. Bauchner, Alan E. Gross
Hearing Site: New York, NY
Checkmark Icon$0
16-0218312/27/2017Claimant(s): Linda Trautman
Claimant Lawyers(s): Kenneth R. Behrend
Respondent(s): Richard Staszak, Cetera Advisor Networks LLC
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): Carl Hohnbaum, Michael J. Meeusen, Stuart C. Gaul
Hearing Site: Pittsburgh, PA
Checkmark IconExpungement

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