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FINRA Awards for on Behalf of IRA

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0186412/19/2022Claimant(s): Susan Hebert, on Behalf of IRA
Claimant Lawyers(s): Susan Hebert
Respondent(s): LPL Financial LLC, Howard Romero
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Robert D. Sussin, Theodore G. Bradpiece, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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