| 18-03745 | 05/03/2019 | Claimant(s): Paul Doak
Claimant Lawyers(s): Nicholas J Dale
Respondent(s): Cambridge Investment Research., Mony Securities Corporation
Respondent Lawyers(s): Andrea Shafer, Annet K. Ebright
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 18-03839 | 04/22/2019 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E Dennis
Respondent(s): Keith Guy
Respondent Lawyers(s): Keith Lee Guy
Arbitrator(s): Sterling N. Frost
Hearing Site: Portland, OR
| | |
| 18-02951 | 04/22/2019 | Claimant(s): Shirley Kube
Claimant Lawyers(s): Shirley L. Kube
Respondent(s): Cambridge Investment Research., Robert McCalmont
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
|  | $0 |
| 18-02977 | 02/25/2019 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Gary Strange
Respondent Lawyers(s): Gary Michael Strange
Arbitrator(s): Edith N. Dinneen
Hearing Site: Raleigh, NC
| | |
| 18-01948 | 11/28/2018 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Derek Miller
Respondent Lawyers(s): Derek Lee Miller
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
| | |
| 18-01019 | 11/21/2018 | Claimant(s): Harris Nydick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
| | |
| 17-02630 | 11/12/2018 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Kermit Gable
Respondent Lawyers(s): Kermit Gordon Gable
Arbitrator(s): Arthur H. Geffen, Anthony William (Bill) Kashouty, Bill Lamoreaux
Hearing Site: Dallas, TX
| | |
| 18-01327 | 09/26/2018 | Claimant(s): Janet Zupkus
Claimant Lawyers(s): Janet B Zupkus
Respondent(s): Cambridge Investment Research., John Pronovost
Respondent Lawyers(s): Carolyn Browne, James Kopecky
Arbitrator(s): Charles W. Danis
Hearing Site: Hartford, CT
| | $41,570 |
| 17-03205 | 07/19/2018 | Claimant(s): David Garrison
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Kansas City, MO
| | |
| 17-02613 | 06/18/2018 | Claimant(s): Alice Irwin, Charles Irwin
Claimant Lawyers(s): Alice Louise Irwin, Charles Dail Irwin
Respondent(s): Cambridge Investment Research., Denver Nelson
Respondent Lawyers(s): Andrew J. Dorman, Gary Saretsky
Arbitrator(s): John F. Burns, Lynn Hirschfeld Brahin, Christy K. Radigan
Hearing Site: Columbus, OH
| | Dismissed by Rule 12206 |
