| 23-01508 | 11/30/2023 | Claimant(s): James Immekus
Claimant Lawyers(s): James E. Immekus
Respondent(s): LPL Financial LLC, James Monteverde
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert J. Scafuri, Jacqueline R. Fox, David M. Panko
Hearing Site: Pittsburgh, PA
|  | Dismissed by Rule 12206 |
| 20-01036 | 01/19/2022 | Claimant(s): Johnny Rodriguez
Claimant Lawyers(s): Robert Brian Volynsky
Respondent(s): LPL Financial LLC, Dawn West
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Peter A. Goldman, Peter A. Seibel, John Michael Bergin
Hearing Site: New York, NY
| | Expungement |
| 18-02759 | 11/06/2019 | Claimant(s): Elizabeth Alvarez-Orozco, Michael Orozco
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Louis David Huss
Hearing Site: Miami, FL
| | $0 |
| 16-02031 | 04/02/2018 | Claimant(s): Loyd Guinn, Sandra Guinn
Claimant Lawyers(s): Steven G. Durio
Respondent(s): LPL Financial LLC, Steven Darden, William Financial Advisors
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Jeff Abrams, Ashley Lucile Belleau, Mark A. Myers
Hearing Site: New Orleans, LA
| | Expungement |
| 16-01770 | 11/27/2017 | Claimant(s): Philip Evans
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Barry DekreekL Financial LLC
Respondent Lawyers(s): Mickey Wright, Thomas F. Barnett
Arbitrator(s): James R. McGuone, Ronelle W. Genser, Marcia A. Ogilvie
Hearing Site: Atlanta, GA
| | Expungement |
| 15-01327 | 02/11/2016 | Claimant(s): Colleen Colabella & Bovio Colabella
Claimant Lawyers(s): Colleen Colabella
Respondent(s): LPL Financial LLC, Michael Goncalves
Respondent Lawyers(s): Dennis M. Carnelli, Thomas F. Barnett
Arbitrator(s): Michael P. Marryshow
Hearing Site: Hartford, CT
| | $213 |
| 13-02455 | 07/31/2014 | Claimant(s): Lois Lazzopina
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Anel MolinaL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Steven Ira Weinberger, Stephen Kahane, Sonja Shuford
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-01591 | 12/03/2013 | Claimant(s): Thomas E. Szmurlo, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert L. Agusto
Hearing Site: Chicago, IL
| | $31,353 |
| 13-01463 | 10/17/2013 | Claimant(s): Velma Petty
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Edward J. Costello
Hearing Site: Birmingham, AL
| | $36,987 |
| 13-00986 | 09/25/2013 | Claimant(s): Velma H. Petty, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert S. McConnell
Hearing Site: Birmingham, AL
| | $44,262 |
