Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 15-01311 | 03/16/2016 | Claimant(s): Suzanne Taylor Claimant Lawyers(s): Deanna Besbekos Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): Elaine M. Rice Arbitrator(s): Mary M. O'Neil, Daniel Lawrence Pearlman, Michael Joseph Desmond Hearing Site: Los Angeles, CA |  | Dismissed by Rule 12206 |
| 14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer Claimant Lawyers(s): John P. Connolly Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities. Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman Hearing Site: Washington, DC | | $0 |
| 13-01619 | 06/24/2014 | Claimant(s): Charles Liotta Trust dtd 3/8/94 Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): John Kincaid, Cetera Advisors LLC Respondent Lawyers(s): Stanley C. Morris Arbitrator(s): Richard L. Rubin Hearing Site: San Francisco, CA | | Expungement |