Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-03379 | 06/16/2020 | Claimant(s): Kevin Sanderford Claimant Lawyers(s): Michael Bessette Respondent(s): LPL Financial LLC, Cetera Advisors LLC Respondent Lawyers(s): David Feldstein, Sara B. Davis Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 19-03369 | 06/12/2020 | Claimant(s): Craig Nelson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Erik R. Siering Hearing Site: Las Vegas, NV | ||
| 20-00144 | 06/10/2020 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Terrence Diehl Respondent Lawyers(s): Terrence Jeffrey Diehl Arbitrator(s): Jim Geiger Hearing Site: Syracuse, NY | ||
| 20-00090 | 06/08/2020 | Claimant(s): Christopher Mise Claimant Lawyers(s): Brian Luther Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Maurice M. Feller Hearing Site: Columbia, SC | ||
| 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 | ||
| 19-03261 | 05/14/2020 | Claimant(s): Gary Plessl, Kevin Houser Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplan Arbitrator(s): John J. Jordan, Dale A. Pope, Stephen J. Scherf Hearing Site: Philadelphia, PA | ||
| 19-03053 | 05/07/2020 | Claimant(s): Jeffrey Gore Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO | ||
| 19-02662 | 04/30/2020 | Claimant(s): Brian Groh Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): John P. Cullem Hearing Site: Orlando, FL | ||
| 19-02390 | 04/14/2020 | Claimant(s): Shon Flaharty Claimant Lawyers(s): Harris Freedman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): John P. Cullem Hearing Site: Tampa, FL | ||
| 19-02830 | 04/06/2020 | Claimant(s): Careena Patel Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Robert E. Anderson Hearing Site: Hartford, CT |