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FINRA Awards for LPL Financial LLC

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Displaying 81-90 out of 291 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0096303/28/2022Claimant(s): Edwin McClure III
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
21-0099703/28/2022Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Jeff McElroy
Respondent Lawyers(s): Jeff Corey McElroy
Arbitrator(s): Robert J. Gregory
Hearing Site: Oklahoma City, OK
21-0221403/23/2022Claimant(s): Danielle Stanton
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey L. Vasko
Arbitrator(s): Robert A. Lakosil, Kirtley M. Thiesmeyer, Thomas L. Marshall
Hearing Site: San Diego, CA
21-0167003/21/2022Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Scott Williams
Respondent Lawyers(s): Scott Douglas Williams
Arbitrator(s): Theodore Haynes, Michael Edward Collins, Nancy King Crawford
Hearing Site: Nashville, TN
21-0163603/08/2022Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
21-0130402/11/2022Claimant(s): Don Salter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Sally G. Williams
Hearing Site: New Orleans, LA
21-0244502/09/2022Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John D. Stewart
Respondent(s): Michael Muratore
Respondent Lawyers(s): Michael Joseph Muratore
Arbitrator(s): Dora M. Lassinger
Hearing Site: New York, NY
21-0110302/07/2022Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Henry Moore
Respondent Lawyers(s): Henry Keith Moore
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
21-0205901/31/2022Claimant(s): Michael Hatch
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
21-0111612/10/2021Claimant(s): Andy Schwartz
Claimant Lawyers(s): John D. Stewart
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: Jersey City, NJ

291 Results

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