| 22-02627 | 08/07/2023 | Claimant(s): Kirby McDonald
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
| | |
| 20-03646 | 04/07/2023 | Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
|  | Expungement |
| 21-01422 | 02/22/2023 | Claimant(s): Charles Nino, Doreen Filomena, Heather Bily, Charles J. Nino IRA, Duane A. Bily IRA, Heather M. Bily IRA, Patricia A. Bily IRA, Sabrina L. Nino IRA, The Bily Charitable Remainder Unitrust, The Bily Family Trust UAD 12/23/96
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Ron Purvines, Cetera Advisors LLC
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Barbara M. Zak, Avery B. Goodman, Ann H. Nevers
Hearing Site: Las Vegas, NV
| | Expungement |
| 21-01972 | 10/25/2022 | Claimant(s): Jess Hurst
Claimant Lawyers(s): Brian P. Nally
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynn Hirschfeld Brahin, Scott C. Matasar, David Arnold
Hearing Site: Cleveland, OH
| | |
| 21-00305 | 08/31/2022 | Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
| | Expungement |
| 18-00118 | 11/05/2021 | Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
| | Stipulated Award |
| 20-02451 | 04/19/2021 | Claimant(s): Brian Thomas
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-01414 | 12/04/2020 | Claimant(s): Michael Nielson
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 19-02287 | 11/09/2020 | Claimant(s): Jess Hurst
Claimant Lawyers(s): Brian P. Nally
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael S. Matek
Hearing Site: Cleveland, OH
| | |
| 19-03379 | 06/16/2020 | Claimant(s): Kevin Sanderford
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC, Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein, Sara B. Davis
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
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