Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-00561 | 11/02/2023 | Claimant(s): Jack Brkich Claimant Lawyers(s): Jessica E. Levine Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Smitham Arbitrator(s): Adam Michael Porter Hearing Site: Los Angeles, CA | ||
| 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 | ||
| 22-02627 | 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 | ||
| 22-02452 | 08/02/2023 | Claimant(s): Mei Guo Claimant Lawyers(s): Christina Z. Vourakis Respondent(s): Cetera Investment Services. 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 |
| 22-01839 | 05/09/2023 | Claimant(s): Ronald Kuhn Claimant Lawyers(s): Jessica E. Levine Respondent(s): VSR Financial Services. Respondent Lawyers(s): David Smitham Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout Hearing Site: Honolulu, HI | ||
| 17-00580 | 03/22/2018 | Claimant(s): Mae Nauheim, Mae Nauheim Restated Decl Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Summit Brokerage Services. Respondent Lawyers(s): David Smitham Arbitrator(s): Perry Earl Phillips Hearing Site: Boca Raton, FL | | Expungement |
| 16-03366 | 09/12/2017 | Claimant(s): Fillip Gershon Claimant Lawyers(s): Derek C. Anderson Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Smitham Arbitrator(s): Louis H. Miron Hearing Site: Newark, NJ | ||
| 16-03126 | 09/08/2017 | Claimant(s): David Boike Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Vestax Securities Corporation Respondent Lawyers(s): David Smitham Arbitrator(s): Gail K. Barski-McCracken Hearing Site: Detroit, MI | ||
| 16-03052 | 05/31/2017 | Claimant(s): Thomas Ahern Claimant Lawyers(s): Dennis G Peatrowsky Respondent(s): J.P. Turner & Company, L.L.C. Respondent Lawyers(s): David Smitham Arbitrator(s): Patrick R. Westerkamp Hearing Site: Philadelphia, PA |