| 17-01071 | 10/11/2017 | Claimant(s): Gregory McDonough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ronald L. Cheney, Stephen M. Acerra, Sandor I. Rabkin
Hearing Site: Boston, MA
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| 16-03224 | 10/09/2017 | Claimant(s): Vivienne Schleu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Jon D. Kaplon, Susan D. Duff
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 15-00283 | 07/17/2017 | Claimant(s): Mark Farwell
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): LPL Financial LLC, Robert Kennedy, Spencer Lewis, Summer Pretzer, Thomas Estridge
Respondent Lawyers(s): David Baugh
Arbitrator(s): Rody P. Biggert, Laura M. Nelson, Michael Cotter Greenfield
Hearing Site: Chicago, IL
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| 17-00155 | 06/08/2017 | Claimant(s): Kathleen Eckerson
Claimant Lawyers(s): Kathleen Ann Eckerson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 16-03212 | 04/19/2017 | Claimant(s): Martin Flores
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 15-03489 | 03/27/2017 | Claimant(s): James Robertson
Claimant Lawyers(s): Mike Aduddell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Brian James Tagtmeier, Julie Marie Miller
Hearing Site: Houston, TX
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| 16-02206 | 01/30/2017 | Claimant(s): Susan Moore
Claimant Lawyers(s): Joel M. Everest
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Neil Harvey Smith
Hearing Site: Birmingham, AL
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| 16-02290 | 01/12/2017 | Claimant(s): Eric Wishan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Portland, OR
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| 15-02271 | 08/16/2016 | Claimant(s): Todd Storaska
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): LPL Financial LLC, Mark Durham
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Daniel A. Kile, James W. Kerr, Wanda Martinez
Hearing Site: Dallas, TX
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| 14-02396 | 02/18/2016 | Claimant(s): Jonathan Freeze
Claimant Lawyers(s): Alan H. Perer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James J. Puhala, John P. Abriola, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
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