| 23-01390 | 03/29/2024 | Claimant(s): Gregory Thorn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 22-02451 | 09/13/2023 | Claimant(s): James Williams
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 22-01103 | 08/01/2023 | Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan
Claimant Lawyers(s): Sanford Mitchell Passman
Respondent(s): Herbert Messick, Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-00654 | 04/28/2023 | Claimant(s): Troy Stine
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): A. G. Edwards & Sons., Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein, Deirdre Wolff
Arbitrator(s): Maryanne M. Esser, Irving Sylvester Moses, Stuart Diamond
Hearing Site: Houston, TX
| | |
| 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
| | |
| 21-03114 | 09/01/2022 | Claimant(s): Gary Meagher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | |
| 21-03059 | 08/05/2022 | Claimant(s): Robert Wolfe
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Diane M. Perry
Hearing Site: Boca Raton, FL
| | |
| 21-00844 | 12/20/2021 | Claimant(s): Donald Murray, Patricia Murray
Claimant Lawyers(s): Dietrich P. Epperson
Respondent(s): Kimberly Enders, Steven Enders, Cetera Advisor Networks LLC, Summit Brokerage Services.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
| 19-01231 | 12/01/2021 | Claimant(s): Mamdoh Abas
Claimant Lawyers(s): Darren Veracruz
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Roberta Haft, Michael Harrison, Nicholes W. Ghnouly
Hearing Site: Los Angeles, CA
| | |
| 20-03256 | 08/31/2021 | Claimant(s): The Sorkin Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Gayle B. Carlson, Alan E. Linden, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
