| 23-00032 | 07/05/2023 | Claimant(s): Arthur Rifflard, Arthur Rifflard IRA
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Vincent S. Mezinko
Hearing Site: Columbus, OH
|  | $0 |
| 22-01936 | 05/12/2023 | Claimant(s): Gene Whobrey, Susanne Whobrey
Claimant Lawyers(s): William B. Young
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Charles E. White, Samuel Appel, Olivia Corrie Smith
Hearing Site: Atlanta, GA
| | Dismissed with Rule 12206 |
| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
| | Expungement |
| 18-04126 | 02/13/2020 | Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
| | $0 |
| 18-04133 | 12/12/2019 | Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-02951 | 04/22/2019 | Claimant(s): Shirley Kube
Claimant Lawyers(s): Shirley L. Kube
Respondent(s): Cambridge Investment Research., Robert McCalmont
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
| 18-01327 | 09/26/2018 | Claimant(s): Janet Zupkus
Claimant Lawyers(s): Janet B Zupkus
Respondent(s): Cambridge Investment Research., John Pronovost
Respondent Lawyers(s): Carolyn Browne, James Kopecky
Arbitrator(s): Charles W. Danis
Hearing Site: Hartford, CT
| | $41,570 |
| 17-02613 | 06/18/2018 | Claimant(s): Alice Irwin, Charles Irwin
Claimant Lawyers(s): Alice Louise Irwin, Charles Dail Irwin
Respondent(s): Cambridge Investment Research., Denver Nelson
Respondent Lawyers(s): Andrew J. Dorman, Gary Saretsky
Arbitrator(s): John F. Burns, Lynn Hirschfeld Brahin, Christy K. Radigan
Hearing Site: Columbus, OH
| | Dismissed by Rule 12206 |
| 14-03103 | 11/04/2015 | Claimant(s): Chicago Patrolmen's Federal Credit Union
Claimant Lawyers(s): Mark H. Horwitch
Respondent(s): Cambridge Investment Research., Retirement Plan Advisors Group., Retirement Plan Advisors., Retirement Plan Advisors
Respondent Lawyers(s): Scott Porterfield
Arbitrator(s): Kenneth N. Adamson, Michael S. Jordan, Stephen Skardon
Hearing Site: Chicago, IL
| | $170,600 |
