| 17-03493 | 05/01/2018 | Claimant(s): Corey Ross
Claimant Lawyers(s): Corey Douglas Ross
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Clydia Jean Cuykendall
Hearing Site: Seattle, WA
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| 17-01803 | 04/09/2018 | Claimant(s): Bryan Kaarlsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Jon D. Kaplon
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 17-01937 | 04/09/2018 | Claimant(s): Bradley Fischer
Claimant Lawyers(s): Owen Harnett
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton, Jon D. Kaplon
Arbitrator(s): Michael J. Meeusen
Hearing Site: Detroit, MI
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| 17-03022 | 04/09/2018 | Claimant(s): Gregory Powell
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
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| 17-01003 | 03/30/2018 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara Kramer, Jon Kaplon
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
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| 17-01983 | 03/29/2018 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Jon D. Kaplon
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 16-03260 | 02/16/2018 | Claimant(s): Brandon Marinelli, Meagan Donahue
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Michael J. McNeil, John M. Dasher, Sean Alan D'Amico
Hearing Site: Hartford, CT
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| 17-01129 | 02/05/2018 | Claimant(s): Leonard Valletta
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Pamela H. Roderick
Hearing Site: Albany, NY
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| 17-01307 | 12/22/2017 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara H. Kramer, Jon Kaplon
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
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| 16-01339 | 10/24/2017 | Claimant(s): James Bashaw, Jeb & Co.
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC, Mark Casady
Respondent Lawyers(s): Rodney Acker
Arbitrator(s): Peter Benz Dickens, Alan M. Holzberg, Brian James Tagtmeier
Hearing Site: Houston, TX
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