Potomac Analytics' Logo

FINRA Awards for LPL Financial LLC

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 121-130 out of 291 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0270904/02/2021Claimant(s): Stephen Bush
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
20-0314503/31/2021Claimant(s): Lee Goodin
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
20-0343803/31/2021Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Jacob Franco
Respondent Lawyers(s): Jacob Franco
Arbitrator(s): F. Guthrie Castle
Hearing Site: Albuquerque, NM
20-0273903/29/2021Claimant(s): Damian Dering
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
20-0269903/26/2021Claimant(s): David Brown
Claimant Lawyers(s): Chelsea Masters
Respondent(s): LPL Financial LLC, Park Avenue Securities LLC
Respondent Lawyers(s): Kristin Wynne, Sara B. Davis
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
20-0291303/19/2021Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Bradley Gardner
Respondent Lawyers(s): Bradley Everett Gardner
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
20-0267303/18/2021Claimant(s): Bradley Thompson
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Cheyenne, WY
20-0284803/16/2021Claimant(s): Vera Daikovich
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
20-0317403/15/2021Claimant(s): David Donat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Peter H. Daly
Hearing Site: Rapid City, SD
19-0367903/10/2021Claimant(s): Kyra Kizirian
Claimant Lawyers(s): Kyra L Kizirian
Respondent(s): LPL Financial LLC, Eric Young, Keith Schmidt
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lester Friedman, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA

291 Results

Display: