| 22-01249 | 12/20/2022 | Claimant(s): Stanley Cooper
Claimant Lawyers(s): Denis Dice
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan
Hearing Site: Philadelphia, PA
| | |
| 21-02803 | 07/15/2022 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): David G. Smitham
Respondent(s): Neil Fineman
Respondent Lawyers(s): Neil S. Fineman
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | |
| 16-03007 | 12/15/2017 | Claimant(s): John Pitz
Claimant Lawyers(s): Christopher D. Pham
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | |
| 16-03508 | 08/30/2017 | Claimant(s): Daniel McPherson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Cetera Advisors LLC, Parkland Securities
Respondent Lawyers(s): David G. Smitham, Denis C. Dice, John McClellan
Arbitrator(s): Bernard F. Vail
Hearing Site: Boise, ID
| | |
| 13-01540 | 09/26/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David G. Smitham
Respondent(s): Brendon Lyden, Mark Ginsberg
Respondent Lawyers(s): Brendon John Lyden, Loretta M. Gastwirth
Arbitrator(s): Vincent C. Pangia, Thomas Michael Gandolfo, Mary Julia O'Connell
Hearing Site: New York, NY
|  | $0 |
| 13-01805 | 09/11/2014 | Claimant(s): Robert Regna
Claimant Lawyers(s): Jeffrey W. Herrmann
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Robert E. Anderson, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
| | Expungement |
| 12-01040 | 10/10/2013 | Claimant(s): Matthew Garagusi
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Samuel A. Alward, John Joseph Hentschel, CRE, MAI, FRICS
Hearing Site: Baltimore, MD
| | Expungement |
| 11-02754 | 09/04/2013 | Claimant(s): Edward Horvath, Pamela Horvath
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Irwin Kahn, Elizabeth Gilbert, Mitchell Jay Bayer
Hearing Site: New York, NY
| | Expungement |
| 11-03073 | 02/25/2013 | Claimant(s): Corwin Farris, Gloria Farris
Claimant Lawyers(s): Jami Jackson Farris
Respondent(s): Christopher Pridnia, Harry Satterfield, Edward Jones, Allstate Life Insurance Company
Respondent Lawyers(s): David G. Smitham, John F. Hanzel, Peter J. Valeta
Arbitrator(s): Leon Henderson, James Whitaker Ballou, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
| 10-03837 | 09/14/2011 | Claimant(s): The Richard Steinberg Living Trust
Claimant Lawyers(s): David E. Bamberger
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Kinchen C. Bizzell, Alun Hywel Jones, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
