| 14-03103 | 11/04/2015 | Claimant(s): Chicago Patrolmen's Federal Credit Union
Claimant Lawyers(s): Mark H. Horwitch
Respondent(s): Cambridge Investment Research., Retirement Plan Advisors Group., Retirement Plan Advisors., Retirement Plan Advisors
Respondent Lawyers(s): Scott Porterfield
Arbitrator(s): Kenneth N. Adamson, Michael S. Jordan, Stephen Skardon
Hearing Site: Chicago, IL
|  | $170,600 |
| 12-04087 | 07/30/2014 | Claimant(s): Willie Benning
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Arnold Montano, Cambridge Investment Research Advisors, Cambridge Investment Research., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Sam Y. Edgerton
Arbitrator(s): Patrick J. Halter, Harvey W Gordon, Richard Djokic
Hearing Site: Albuquerque, NM
| | $243,510 |
| 14-00360 | 07/30/2014 | Claimant(s): Betty Brown
Claimant Lawyers(s): Betty Brown
Respondent(s): Andrew Lenich, Cambridge Investment Research.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | $0 |
| 12-02752 | 05/21/2014 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): John Mazzarella
Respondent Lawyers(s): John Fredrick Mazzarella
Arbitrator(s): Sheldon Seligsohn
Hearing Site: Philadelphia, PA
| | |
| 12-03623 | 04/28/2014 | Claimant(s): Deanna Buchholz
Claimant Lawyers(s): Jody L. Winter
Respondent(s): Cambridge Investment Research Advisors,, Cambridge Investment Research.
Respondent Lawyers(s): Sam Y. Edgerton
Arbitrator(s): Richard J. Stall, Robert Dean McKinley, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
| | |
| 13-03024 | 04/28/2014 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): Thomas Fletcher
Respondent Lawyers(s): Thomas A. Fletcher
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
| | |
| 13-01224 | 10/25/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Andrew J. Dorman
Respondent(s): Richard Sandru
Respondent Lawyers(s): Richard Patrick Sandru
Arbitrator(s): John W. Eichleay
Hearing Site: Cleveland, OH
| | |
| 12-01115 | 08/09/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Thomas Rittenburg
Respondent(s): Henry Korngut
Respondent Lawyers(s): James A. Hughes
Arbitrator(s): Michael J. Fish
Hearing Site: San Francisco, CA
| | |
| 12-03569 | 06/12/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): Robert Johnson
Respondent Lawyers(s): Robert Leland Johnson
Arbitrator(s): Alvin S. Milder
Hearing Site: Los Angeles, CA
| | |
| 12-03268 | 03/27/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L Lathrop
Respondent(s): Timothy Sobolewski
Respondent Lawyers(s): Joanne A. Schultz
Arbitrator(s): Christopher C. Willett
Hearing Site: Buffalo, NY
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