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FINRA Awards for Cetera Investment Services.

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0289309/13/2024Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
23-0261407/19/2024Claimant(s): Spencer Warn
Claimant Lawyers(s): Colin D. Gerish
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
23-0281607/01/2024Claimant(s): Tsz Kwan Lau
Claimant Lawyers(s): Christina Vouakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
23-0158405/09/2024Claimant(s): Ping Shuang Wu
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
23-0132704/25/2024Claimant(s): Gregory Malin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
23-0147601/19/2024Claimant(s): Ivan Cen
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
23-0156601/12/2024Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
23-0137401/11/2024Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
22-0245208/02/2023Claimant(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

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