| 23-02354 | 11/13/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Mario Rivero
Respondent Lawyers(s): Mario Everildo Rivero
Arbitrator(s): Michael H DuBoff, Kenneth J. Horowitz, Julian Stapleford
Hearing Site: Jersey City, NJ
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| 23-01460 | 10/17/2024 | Claimant(s): Kevin Farrow
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): LPL Financial LLC, Cuna Brokerage Services., Suncoast Credit Union
Respondent Lawyers(s): Amy L. Drushal, Neil S. Baritz, Sandra D. Grannum
Arbitrator(s): Jacquelyn M. Shannon, Dempsey Reno Adkins, Andrea M Johnson
Hearing Site: Tampa, FL
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| 22-00435 | 07/22/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Donald Heitz
Respondent Lawyers(s): Donald Leon Heitz
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
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| 21-02657 | 04/01/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Keith Esp
Respondent Lawyers(s): Keith Adam Esp
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 19-03579 | 02/09/2021 | Claimant(s): Kevin Fretz
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
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| 16-02887 | 10/16/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Nelson Torrens
Respondent Lawyers(s): Nelson Torrens
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
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| 20-01011 | 10/05/2020 | Claimant(s): Chiu-ni Wang
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
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| 19-02345 | 06/01/2020 | Claimant(s): Jay Thorp
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Phyllis Karasov, Grant D. Sanders, Buffie Ann Blesi
Hearing Site: Minneapolis, MN
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| 17-01064 | 01/09/2019 | Claimant(s): Albert Kaufman
Claimant Lawyers(s): Albert Duncan Kaufman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
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| 15-01399 | 01/09/2018 | Claimant(s): Beverly Hunnewell
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Jeffrey Newman, Sarah Burns, Park Avenue Securities LLC
Respondent Lawyers(s): David A. Weintraub, Neil S. Baritz, Z. Logan Gould
Arbitrator(s): Gilbert A. Schnirman, Christopher J. Klein, Glenn Franklin Fuller
Hearing Site: Miami, FL
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