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FINRA Awards for Cetera Advisors LLC

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Displaying 10 out of 33 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0298010/18/2024Claimant(s): Joseph Medina
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Neil G. Gargiulo, Gerry E. Feinberg, William E. Nuckel
Hearing Site: New York, NY
23-0285109/30/2024Claimant(s): Ryan Malloch
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
23-0299407/17/2024Claimant(s): Christopher Rubano
Claimant Lawyers(s): Anthony D. Green
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Jeffrey Alan Helewitz, Carol Maria Luttati, Mark Peter Haslinger
Hearing Site: New York, NY
23-0133406/14/2024Claimant(s): Brandon Bowman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
23-0271206/04/2024Claimant(s): Roger Green
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
23-0130102/08/2024Claimant(s): George Kastanis
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
23-0125712/06/2023Claimant(s): Andrew Schroeder
Claimant Lawyers(s): James P. Galvin
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
23-0056111/02/2023Claimant(s): Jack Brkich
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
23-0081509/29/2023Claimant(s): Nathan Macdonald
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Samuel H. Chorches, Howard N. Gorney, John Francis Markuns
Hearing Site: Augusta, ME
23-0007108/17/2023Claimant(s): Korsa Nzidee
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY

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