| 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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| 24-01237 | 11/06/2024 | Claimant(s): Daniel Ray
Claimant Lawyers(s): Daniel Patrick Ray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): David I. Levine, Philip Aaron Tymon, Laura A. Kaster
Hearing Site: Detroit, MI
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| 24-01613 | 10/24/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Laurence Rollins
Respondent Lawyers(s): Laurence Charles Rollins
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
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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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| 23-02806 | 09/11/2024 | Claimant(s): Steven Prestyly
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Harvey R. Linder, Margaret Verdery Little, Dexter Thomas Laughlin
Hearing Site: Norfolk, VA
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| 23-01683 | 09/05/2024 | Claimant(s): Jessica Jung
Claimant Lawyers(s): Andrew S. May
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Richard S. Zaifert, Robert William Copeland, Douglas Charles Weinstein
Hearing Site: Nashville, TN
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| 23-01602 | 08/26/2024 | Claimant(s): Allan Haupert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Mark W Solock
Hearing Site: Milwaukee, WI
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| 23-03030 | 08/23/2024 | Claimant(s): Mark Rothstein
Claimant Lawyers(s): Tadeusz McMahon
Respondent(s): LPL Financial LLC, Independent Financial Group., Centaurus Financial.
Respondent Lawyers(s): Jon D. Kaplon, Michael J. Carey, Sarah J. Kreisman
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
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| 23-03351 | 08/12/2024 | Claimant(s): Lee Rycraft
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 23-01281 | 07/26/2024 | Claimant(s): John Loyd
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth, Kelsey Vasko
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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