| 22-02189 | 10/04/2024 | Claimant(s): Stephanie Bokor
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Jeffrey M. Bain, Kimberlee S. Ullner, Henry George Grendell
Hearing Site: Cleveland, OH
|  | $0 |
| 23-03188 | 08/14/2024 | Claimant(s): David Moran, David Moran on behalf of his IRA account
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Robert D. Sussin, Joseph Alfred Davis, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 23-01670 | 08/12/2024 | Claimant(s): Harriet Moskowitz
Claimant Lawyers(s): Chase Carlson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Randy R Freedman, Virginia Lee Perez-Berry, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01699 | 06/10/2024 | Claimant(s): The Estate of Margaret Mahaney-Smith
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Frederick Arbusto
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | Expungement |
| 22-02441 | 05/03/2024 | Claimant(s): Nicole Maisner
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Benjamin F. Breslauer, Aurelio A. Garcia, Carmen Theresa Herrera
Hearing Site: Los Angeles, CA
| | Expungement |
| 23-01820 | 02/28/2024 | Claimant(s): Karen Guerrero
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | Expungement |
| 23-02249 | 01/05/2024 | Claimant(s): Simone Varessi
Claimant Lawyers(s): Simone Varessi
Respondent(s): LPL Financial LLC, William Faith
Respondent Lawyers(s): Jon D. Kaplon, William Lawrence Faith
Arbitrator(s): Andrew W. Levin
Hearing Site: Los Angeles, CA
| | $0 |
| 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 |
| 22-01471 | 11/09/2023 | Claimant(s): Jessie Wheat
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): LPL Financial LLC, William Poulter
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Jo-Marie Lisa, Brian James Tagtmeier, Nadine Michele Ramsey
Hearing Site: New Orleans, LA
| | Expungement |
| 22-00133 | 09/27/2023 | Claimant(s): Aaron Siegel, Aaron Siegel Rev. Trust DTD 02/19/2004
Claimant Lawyers(s): Aaron Siegel
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Robert J. Scafuri, Mark Leslie Small, Matt Bosco
Hearing Site: Detroit, MI
| | Dismissed by Rule 12212© |
