Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-00296 | 10/07/2019 | Claimant(s): Charles Smith Claimant Lawyers(s): Michael O'Gara Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): C. Sumpter Logan Hearing Site: Oklahoma City, OK | ||
| 19-00324 | 10/02/2019 | Claimant(s): Christopher Nichols Claimant Lawyers(s): Matthew E. Wolper Respondent(s): LPL Financial LLC, Lincoln Financial Securities Corporation Respondent Lawyers(s): Jon D. Kaplon, Michael W. Arnold Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL | ||
| 19-00452 | 09/26/2019 | Claimant(s): Mark Schlipman Claimant Lawyers(s): Matt Wolper Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Robert J. Scafuri Hearing Site: St. Louis, MO | ||
| 18-04058 | 09/16/2019 | Claimant(s): John Cartolano Claimant Lawyers(s): Robert D. Mitchell Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Marcia A. Herrmann, Michael Kelley, Ernst Janensch Hearing Site: Phoenix, AZ | ||
| 18-04358 | 09/11/2019 | Claimant(s): Wayne Wagner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Louis H Miron Hearing Site: Wilmington, DE | ||
| 19-00047 | 08/29/2019 | Claimant(s): Mark Wilburn Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 19-00342 | 08/19/2019 | Claimant(s): Lee Thomson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Patricia Beaujean Lehtola Hearing Site: Dallas, TX | ||
| 18-03864 | 07/31/2019 | Claimant(s): Julie Castillo Claimant Lawyers(s): Julie Hermes Castillo Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Allen Kilik, Robert Lawrence Ostrov, Tiffany Jeanette Brown Hearing Site: Boca Raton, FL | ||
| 18-03991 | 07/30/2019 | Claimant(s): Michael Abramo Claimant Lawyers(s): N. Nancy Ghabai, Esq. Respondent(s): LPL Financial LLC, UBS Financial Services Inc., Citigroup Global Markets. Respondent Lawyers(s): Anthony J. Borrelli, David I. Hantman, Esq., Jon D. Kaplon Arbitrator(s): Gerard S. Marsan Hearing Site: Boston, MA | ||
| 18-03213 | 04/23/2019 | Claimant(s): Nisha Varma Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA |