| 22-00838 | 09/20/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Ross Fabregas
Respondent Lawyers(s): Ross Ramon Fabregas
Arbitrator(s): Robert Titus
Hearing Site: Albany, NY
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| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
|  | Expungement |
| 22-00208 | 08/30/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kristina J. Branstetter
Respondent(s): Jacob Turner
Respondent Lawyers(s): Jacob Troy Turner
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Richmond, VA
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| 22-00228 | 08/30/2022 | Claimant(s): Timothy Flatley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 22-00761 | 08/24/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kristina J. Branstetter
Respondent(s): Lawrence Hubert
Respondent Lawyers(s): Lawrence James Hubert
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 22-00274 | 07/22/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette Dennis
Respondent(s): Nicola DiPaolo
Respondent Lawyers(s): Nicola DiPaolo
Arbitrator(s): Langfred W. White
Hearing Site: Nashville, TN
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| 21-03093 | 06/23/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Leo Vassallo
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Syracuse, NY
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| 21-00471 | 05/11/2022 | Claimant(s): McHenry Savings Bank
Claimant Lawyers(s): Maria L. Kreiter
Respondent(s): Cambridge Investment Research., Vickie Benedetti, Cambridge Investment Research Advisors
Respondent Lawyers(s): Richard H. Kuhlman, Vickie Lynn Benedetti
Arbitrator(s): Daniel R. Formeller, Frances P. Kao, Cynthia Ross Polayes
Hearing Site: Chicago, IL
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| 22-00009 | 05/02/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kristina J. Branstetter
Respondent(s): David Melilli
Respondent Lawyers(s): David John Melilli
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
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| 21-01751 | 11/12/2021 | Claimant(s): Bradley Tiche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Robert E. Anderson
Hearing Site: Pittsburgh, PA
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