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FINRA Awards for Cetera Investment Services LLC

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0017209/05/2017Claimant(s): Thomas Lindia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
15-0169908/12/2016Claimant(s): Hoang Vu
Claimant Lawyers(s): Hoang Huy Vu
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
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13-0183603/03/2014Claimant(s): Damon Mapes, Renita Lee-Hausladen
Claimant Lawyers(s): B. Scott Whipple
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): O. Meredith Wilson, Joseph W. Cheek, Trent Thomas Whitford
Hearing Site: Portland, OR

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