The Ohio National Life Insurance Company et al v. Cetera Advisor Networks, LLC et al
| The Ohio National Life Insurance Company and Ohio National Life Assurance Corporation |
| Summit Brokerage Services, Inc., Cetera Advisors LLC, Oppenheimer Life Agency, Ltd., Cetera Investment Services LLC, Oppenheimer & Co., Inc., Cetera Advisor Networks, LLC, First Allied Securities, Inc. and Cetera Financial Specialists LLC |
| 1:2019cv00047 |
| January 22, 2019 |
| US District Court for the Southern District of Ohio |
| Michael R Barrett |
| Contract: Other |
| 28 U.S.C. § 1332 |
| None |
Docket Report
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This docket was last retrieved on October 30, 2020. A more recent docket listing may be available from PACER.
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| Filing 53 Reply re #51 Notice (Other) Notice of Related Case and Motion to Transfer by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Little, Marion) |
| Filing 52 Response re #51 Notice (Other) in Opposition of Related Case and Motion to Transfer by Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd., Counter Claimants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Attachments: #1 Exhibit A - Case Related Memorandum, #2 Exhibit B - Veritas Summary Judgment Decision, #3 Exhibit C - Veritas Notice of Related Case) (Steimle, Christen) |
| Filing 51 NOTICE by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company Notice of Related Case and Motion to Transfer (Little, Marion) |
NOTATION ORDER: As a follow-up to the Status Conference held on 9/23/2020, counsel for Plaintiffs advises that certain matters between Plaintiffs and the Cetera Defendants are moot. Accordingly, #21 Motion to Compel Arbitration and/or Stay Action and #22 Plaintiffs Motion for Preliminary Injunction Enjoining Cetera Defendants from Pursuing Arbitration Against Them are both DENIED without prejudice. Signed by Judge Michael R. Barrett on 9/25/2020. (ba)
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| Minute Entry for proceedings held before Judge Michael R. Barrett: Status Conference held on 9/23/2020; Marion Little appeared for plaintiffs; Robert Gehring appeared for dfts Oppenheimer; and Patrick Eagen appeared for dfts Cetera; plaintiff to file a suggestion of related case as discussed and dfts Oppenheimer to respond; the Court will follow up. (ba) |
| NOTICE of Hearing: Please be aware that a Status Conference between the Court, plaintiffs and Cetera defendants is set for 9/23/2020 at 10:00 AM by teleconference before Judge Michael R. Barrett; NOTE: parties shall refer to the entry on 4/3/20 for conferencing instructions. (ba) |
| Minute Entry for proceedings held before Judge Michael R. Barrett: Status Conference held on 7/8/2020; Marion Little appeared for plaintiffs; Matthew Tracy appeared for Cetera defendants; Ed O'Connell appeared for Oppenheimer defendants; a follow up status conference to be set with a date to be determined. (ba) |
| NOTICE of Hearing: Please be aware that the Status Conference set for 6/4/20 is RESET to 7/8/2020 at 11:30 AM and remains set by teleconference before Judge Michael R. Barrett; NOTE: parties shall refer to the entry on 4/3/20 for conferencing instructions. (ba) |
| NOTICE of Hearing: Please be aware that the Status Conference set for 5/5/20 is RESET for 6/4/2020 at 11:30 AM and remains set by teleconference before Judge Michael R. Barrett; NOTE: parties shall refer to the entry on 4/3/2020 for conferencing instructions (ba) |
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NOTATION ORDER: At the joint oral request of the parties, the status conference set for 3/9/2020 at 04:30 PM is hereby VACATED and RESET to 4/6/2020 at 11:00 am. NOTE: parties shall refer to the entry on 1/28/2020 for conferencing instructions . Signed by Judge Michael R. Barrett on 3/9/2020. (ba)
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| NOTICE of Status Conference on Motion #22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them and #21 MOTION to Stay MOTION to Compel Arbitration and/or Stay Claim; please be aware a status conference is set for 3/9/2020 at 04:30 PM by teleconference before Judge Michael R. Barrett; NOTE: parties shall refer to the entry on 1/28/20 for conferencing instructions (ba) |
| Minute Entry for proceedings held before Judge Michael R. Barrett: Status Conference held on 1/30/2020; Marion Little appeared for plaintiffs; Matthew Tracy appeared for Cetera defendants; parties report that arbitration is scheduled for 4/2020; the Court's ruling is forthcoming re #21 and #22 . (ba) |
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Filing 50
ORDER REASSIGNING CASE. Case reassigned to Judge Michael R. Barrett for all further proceedings. Judge Douglas R. Cole no longer assigned to case. Signed by Judge Michael R. Barrett on 1/27/20. (ba)
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| NOTICE TERMINATING DEADLINES/HEARINGS - Please be aware that the status conference set for 1/27/20 is VACATED at this time. (ba) |
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Filing 49
ORDER REASSIGNING CASE. Case reassigned to Judge Douglas R. Cole for all further proceedings. Signed by Chief Judge Algenon L. Marbley on 12/11/2019. (ss)(This document has been sent by regular mail to the party(ies) listed in the NEF that did not receive electronic notification.)
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Filing 48
ORDER granting #46 Motion to Sever: For the foregoing reasons, therefore, Defendants Oppenheimer & Co. Inc. and Oppenheimer Life Agency, Ltd.s Motion to Sever (Doc. 46) is hereby GRANTED. Ohio Nationals claim against the Oppenheimer Defendants, and the Oppenheimer Defendants counterclaim against Ohio National, will proceed separately from Ohio Nationals claims asserted against the Cetera Defendants.Signed by Judge Michael R. Barrett on 10/8/2019. (jlw)
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| Filing 47 RESPONSE to Motion re #46 MOTION to Sever filed by Plaintiff Ohio National Life Assurance Corporation. (Little, Marion) |
| Filing 46 MOTION to Sever by Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd., Counter Claimants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Steimle, Christen) |
| Filing 45 REPLY to Response to Motion re #37 MOTION for Judgment on the Pleadings As To Counts I And II Of The Counterclaim Of Defendants Oppenheimer & Co. And Openheimer Life Agency, Ltd filed by Counter Defendants Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Little, Marion) |
| Notice of Correction re: #43 Response in Opposition to Motion, Document filed in error, it has been removed per the request of the filer and the filer has re-filed it. (bjc) |
| Filing 44 RESPONSE in Opposition re #37 MOTION for Judgment on the Pleadings As To Counts I And II Of The Counterclaim Of Defendants Oppenheimer & Co. And Openheimer Life Agency, Ltd filed by Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd., Counter Claimants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Steimle, Christen) |
| Filing 43 [FILED IN ERROR, PLEASE DISREGARD] RESPONSE in Opposition re #25 MOTION for Judgment on the Pleadings filed by Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd., Counter Claimants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Steimle, Christen) Modified Docket Text on 6/19/2019 (bjc). |
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Filing 42
ORDER granting #17 Motion for Extension of Time to Answer until 3/15/19. Signed by Judge Michael R. Barrett on 6/17/19. (ba)
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Filing 41
ORDER granting #24 Motion for Extension of Time to File Response/Reply; #26 #27 #29 #30 deemed to be timely filed. Signed by Judge Michael R. Barrett on 6/17/19. (ba)
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| Filing 40 Supplemental Memorandum Supporting re #22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them and (B) Plaintiffs' Memorandum in Opposition to Cetera Defendants' Motion to Compel Arbitration and/or Stay Action filed by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Little, Marion) |
| Filing 39 Supplemental Memorandum Opposing re #21 MOTION to Stay MOTION to Compel Arbitration and/or Stay Claim, #22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them filed by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. (Tracy, Matthew) |
| Filing 38 Transcript of Proceedings, Motion Hearing held on May 17, 2019, before Judge Michael R. Barrett. Court Reporter/Transcriber Maryann T. Maffia, Telephone number 513-564-7677. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. NOTICE RE: REDACTION OF TRANSCRIPTS: Within 5 business days of this filing, each party shall inform the Court, by filing a Notice of Redaction, of the party's intent to redact personal data identifiers from the electronic transcript of the court proceeding. The policy is located on our website at www.ohsd.uscourts.gov (Forms - Electronic Availability of Transcripts). Please read this policy carefully. For a complete copy of a transcript, please contact the Court Reporter or the Clerk's Office.. Redaction Request due 6/21/2019. Redacted Transcript Deadline set for 7/1/2019. Release of Transcript Restriction set for 8/29/2019. (Maffia, Maryann) |
| Filing 37 MOTION for Judgment on the Pleadings As To Counts I And II Of The Counterclaim Of Defendants Oppenheimer & Co. And Openheimer Life Agency, Ltd by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Attachments: #1 Exhibit 1) (Little, Marion) |
| Filing 36 Minute Entry for proceedings held before Judge Michael R. Barrett: Motion Hearing held on 5/17/2019 re #21 MOTION to Stay/Compel Arbitration and/or Stay Claim and #22 MOTION for Preliminary Injunction; Counsel present; arguments/witness testimony heard; exhibits admitted; case to proceed with simultaneous post-hearing submissions by 6/7/19. (Court Reporter: Maryann Maffia) (Attachments: #1 Exhibit List) (ba) |
| Filing 35 REPLY to Response to Motion re #25 MOTION for Judgment on the Pleadings Reply in Support of Motion filed by Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Steimle, Christen) |
| Filing 34 NOTICE of Appearance by Matthew Tracy for Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc., Summit Brokerage Services, Inc. (Tracy, Matthew) |
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Filing 33
ORDER granting #31 Motion for Leave to Appear Pro Hac Vice of Matthew Tracy for Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. Signed by Judge Michael R. Barrett on 5/3/19. (ba)
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| Filing 32 RESPONSE in Opposition re #25 MOTION for Judgment on the Pleadings filed by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Attachments: #1 Exhibit 1) (Little, Marion) |
| Filing 31 MOTION for Leave to Appear Pro Hac Vice (Filing fee of $200 paid, receipt number 0648-6898994) of Matthew Tracy by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. (Nally, Brian) |
| Filing 30 REPLY to Response to Motion re #21 MOTION to Stay MOTION to Compel Arbitration and/or Stay Claim filed by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. (Nally, Brian) |
| Notice of Correction re: #28 Response in Opposition to Motion, document was filed using the incorrect event. The filer has been contacted and will re-file using the correct event. (bjc) |
| Filing 29 REPLY to Response to Motion re #22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them Plaintiffs' Reply in Support of Motion for Preliminary Injunction filed by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Little, Marion) |
| Filing 28 [FILED IN ERROR, PLEASE DISREGARD] RESPONSE in Opposition re #21 MOTION to Stay MOTION to Compel Arbitration and/or Stay Claim filed by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. (Nally, Brian) Modified Docket Text on 4/25/2019 (bjc). |
| Filing 27 RESPONSE in Opposition re #21 MOTION to Stay MOTION to Compel Arbitration and/or Stay Claim Plaintiffs' Memorandum In Opposition To Cetera Defendants' Motion To Compel Arbitration and/or Stay Action filed by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Attachments: #1 Exhibit 1 - Declaration of Barbara A. Turner) (Little, Marion) |
| Filing 26 RESPONSE in Opposition re #22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them filed by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. (Nally, Brian) |
| Filing 25 MOTION for Judgment on the Pleadings by Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd., Counter Claimants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Steimle, Christen) |
| Filing 24 Unopposed MOTION for Extension of Time to File Response/Reply as to #21 MOTION to Stay MOTION to Compel Arbitration and/or Stay Claim, #22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them New date requested 4/12/2019. And to file Reply Memorandum from 4/19/19 to 4/24/19. by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. (Nally, Brian) |
| Filing 23 Answer of Plaintiffs and Counterclaim Defendants The Ohio National Life Insurance Company and Ohio National Life Assurance Corporation to Counterclaim of Defendants Oppenheimer & Co Inc. and Oppenheimer Life Agency, Ltd. ANSWER to #18 Answer to Complaint,,, Counterclaim,, filed by Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Little, Marion) |
| Minute Entry for proceedings held before Judge Michael R. Barrett: Status Conference held on 3/27/2019; Marion Little appeared for Plaintiffs; Andrew Dorman and Natthew Tracey appeared for Dft Ceteras, et al; Edward O'Connell appeared for Dft Oppenheimer, et al; arguments are set as to #22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them and #21 MOTION to Stay/MOTION to Compel Arbitration and/or Stay Claim; for 5/17/2019 at 10:00 AM in Courtroom 109 - Cincinnati before Judge Michael R. Barrett; witness notification by the parties to each other is due by the end of April 2019. (ba) |
| Filing 22 MOTION for Preliminary Injunction Enjoining Cetera Defendants From Pursuing Arbitration Against Them by Plaintiffs Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Attachments: #1 Exhibit A) (Little, Marion) |
| Filing 21 MOTION to Compel Arbitration and/or Stay Claim by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc.. (Attachments: #1 Exhibit Declaration of Brian P. Nally w Exhibits) (Nally, Brian). Added MOTION to Stay on 3/18/2019 (eh). |
| Filing 20 Corporate Disclosure Statement by Defendants Oppenheimer Life Agency, Ltd., Oppenheimer Holdings, Inc. identifying Other Affiliate Oppenheimer Holdings, Inc. for Oppenheimer Life Agency, Ltd... (Steimle, Christen) |
| Filing 19 Corporate Disclosure Statement by Defendants Oppenheimer & Co., Inc., Oppenheimer Holdings, Inc. identifying Corporate Parent Oppenheimer Holdings, Inc. for Oppenheimer & Co., Inc... (Steimle, Christen) |
| Filing 18 ANSWER to #1 Complaint,,,,, , COUNTERCLAIM against Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company filed by Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Attachments: #1 Exhibit 1 - Certificate of Amendment of Certificate of Incorporation, #2 Exhibit 2 - Ohio National Termination Letter, #3 Exhibit 3 - Ohio National Letter with Encl. Servicing Agreement, #4 Exhibit 4 - Proposed Servicing Agreement, #5 Exhibit 5 - Oppenheimer Demand Letter, #6 Exhibit 6 - Ohio National "Update", #7 Exhibit 7 - Ohio National Proposed Servicing Letter, #8 Exhibit 8 - Oppenheimer Rejection Letter) (Steimle, Christen) |
| Filing 17 First MOTION for Extension of Time New date requested 3/15/2019. by Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc., Summit Brokerage Services, Inc.. (Attachments: #1 Text of Proposed Order Order) (Nally, Brian) |
| Filing 16 NOTICE of Appearance by Brian Patrick Nally for Defendants Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc., Summit Brokerage Services, Inc. (Nally, Brian) |
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Filing 15
ORDER granting #13 Motion for Extension of Time to Answer re #1 Complaint; Oppenheimer & Co., Inc. answer due 3/15/2019; Oppenheimer Life Agency, Ltd. answer due 3/15/2019. Signed by Judge Michael R. Barrett on 2/14/19. (ba) (Main Document 15 replaced on 2/15/2019) (jlw).
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| Notice of Correction re: #15 Order on Motion for Extension of Time to Answer, PDF was incorrect. Clerk replaced #15 with a corrected document and regenerated the NEF. (jlw) |
| Filing 14 NOTICE of Appearance by Christen M. Steimle for Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd. (Steimle, Christen) |
| Filing 13 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint,,,,, New date requested 3/15/2019. by Defendants Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd.. (Steimle, Christen) |
| Filing 12 SUMMONS Returned Executed as to Defendant Summit Brokerage Services, Inc.. Summit Brokerage Services, Inc. served on 2/6/2019, answer due 2/27/2019. (Hogan, Christopher) |
| Filing 11 SUMMONS Returned Executed as to Defendant Oppenheimer Life Agency, Ltd.. Oppenheimer Life Agency, Ltd. served on 1/25/2019, answer due 2/15/2019. (Hogan, Christopher) |
| Filing 10 SUMMONS Returned Executed as to Defendant Oppenheimer & Co., Inc.. Oppenheimer & Co., Inc. served on 1/25/2019, answer due 2/15/2019. (Hogan, Christopher) |
| Filing 9 SUMMONS Returned Executed as to Defendant First Allied Securities, Inc.. First Allied Securities, Inc. served on 1/25/2019, answer due 2/15/2019. (Hogan, Christopher) |
| Filing 8 SUMMONS Returned Executed as to Defendant Cetera Investment Services LLC. Cetera Investment Services LLC served on 1/30/2019, answer due 2/20/2019. (Hogan, Christopher) |
| Filing 7 SUMMONS Returned Executed as to Defendant Cetera Financial Specialists LLC. Cetera Financial Specialists LLC served on 1/30/2019, answer due 2/20/2019. (Hogan, Christopher) |
| Filing 6 SUMMONS Returned Executed as to Defendant Cetera Advisors LLC. Cetera Advisors LLC served on 1/30/2019, answer due 2/20/2019. (Hogan, Christopher) |
| Filing 5 SUMMONS Returned Executed as to Defendant Cetera Advisor Networks, LLC. Cetera Advisor Networks, LLC served on 1/30/2019, answer due 2/20/2019. (Hogan, Christopher) |
| Filing 4 Summons Issued as to Cetera Advisor Networks, LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, First Allied Securities, Inc., Oppenheimer & Co., Inc., Oppenheimer Life Agency, Ltd., Summit Brokerage Services, Inc. (sct) |
| ***If this case is referred, it will be to Magistrate Judge Karen L. Litkovitz. (sct) |
| Filing 3 Corporate Disclosure Statement by Plaintiff Ohio National Life Assurance Corporation. (Little, Marion) |
| Filing 2 Corporate Disclosure Statement by Plaintiff The Ohio National Life Insurance Company. (Little, Marion) |
| Filing 1 COMPLAINT For Declaratory And Injunctive Relief against All Defendants ( Filing fee $ 400 paid - receipt number: 0648-6759162), filed by Ohio National Life Assurance Corporation, The Ohio National Life Insurance Company. (Attachments: #1 Exhibit A - First Allied Selling Agreement, #2 Exhibit B - Walnut Street Securities Selling Agreement, #3 Exhibit C - Girard Selling Agreement, #4 Exhibit D - First Allied Securities Selling Agreement, #5 Exhibit E - Prime Vest Selling Agreement, #6 Exhibit F - Multi Financial Selling Agreement, #7 Exhibit G - Investors Capital Selling Agreement, #8 Exhibit H - Summit Brokerage Selling Agreement, #9 Exhibit I - Cetera Financial Specialists Selling Agreement, #10 Exhibit J - Oppenheimer Selling Agreement, #11 Exhibit K - Terminations, #12 Exhibit L - FINRA Guidance, #13 Civil Cover Sheet Civil Cover Sheet, #14 Summons Form Cetera Advisor Networks, LLC, #15 Summons Form Cetera Advisors LLC, #16 Summons Form Cetera Financial Specialists LLC, #17 Summons Form Cetera Investment ServicesLLC, #18 Summons Form First Allied Securities, Inc., #19 Summons Form Oppenheimer & Co., Inc., #20 Summons Form Oppenheimer Life Agency, #21 Summons Form Summit Brokerage Services, Inc.) (Little, Marion) |
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