| 20-03380 | 09/14/2021 | Claimant(s): Randal Kertzman
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
|  | Expungement |
| 19-03803 | 03/10/2021 | Claimant(s): Susan Godown, Susan J. Godown JTTEN
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Karimu F. Hill-Harvey, Natalie Paskiewicz, Jason Paul Ramos
Hearing Site: Tampa, FL
| | Expungement |
| 17-01184 | 05/25/2018 | Claimant(s): Agnes Harris, Donald Harris, Trustees of their Retirement Accounts, Trustees of Their Family Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): LPL Financial LLC, Robert Mitchell
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Michael L. Lyons, Tracy L. Allen, Brian Clinton Underwood
Hearing Site: St. Louis, MO
| | Expungement |
| 12-00039 | 07/31/2013 | Claimant(s): Estate of Al Holloway
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Phillip Lee Scheldt
Hearing Site: Birmingham, AL
| | $33,250 |
| 12-01112 | 01/29/2013 | Claimant(s): William Cleino
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Birmingham, AL
| | $0 |
| 12-00302 | 11/19/2012 | Claimant(s): Earl King
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Memphis, TN
| | $0 |
| 11-02230 | 03/02/2012 | Claimant(s): Mary Walker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Deborah A. Jackson
Hearing Site: Atlanta, GA
| | $17,298 |
