| 20-01763 | 11/19/2021 | Claimant(s): Stephen Frost
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Stuart D. Summers, Paul Lansing, Vincent S. Mezinko
Hearing Site: Columbus, OH
|  | $0 |
| 20-01114 | 11/10/2021 | Claimant(s): Richard Dudley, R. Dudley on behalf of his IRA accts, R. Dudley AIF for spouse, Anna A. Dudley
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Charles McGarry
Hearing Site: Dallas, TX
| | Expungement |
| 20-00478 | 11/02/2021 | Claimant(s): Christine Kearney
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): LPL Financial LLC, Gregory Kearney
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson
Hearing Site: Syracuse, NY
| | $0 |
| 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 |
| 20-01439 | 08/26/2021 | Claimant(s): Linda Jaremback, Michael Jaremback
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nanci Sondra Landy, Erika Deutsch Rotbart, Robert Stanley Zack
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-02218 | 06/23/2021 | Claimant(s): Gregory Zeifman
Claimant Lawyers(s): David C. Silver
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Joseph A. Vallo, Martin A. Feigenbaum, Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-00132 | 06/11/2021 | Claimant(s): Angela Cameron
Claimant Lawyers(s): Heather G. Anderson
Respondent(s): LPL Financial LLC, Hassan Fawaz
Respondent Lawyers(s): Eleonora Yonge, N. Nancy Ghabai
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
| | Expungement |
| 20-01894 | 05/21/2021 | Claimant(s): William Nichols
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 20-02694 | 04/26/2021 | Claimant(s): Nicholas Losinno
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): LPL Financial LLC, Thomas Fross
Respondent Lawyers(s): Tracey Salomon-Smith
Arbitrator(s): Jim Geiger, Barry Goldman, James T. Carney
Hearing Site: Pittsburgh, PA
| | $0 |
| 20-00301 | 04/02/2021 | Claimant(s): Kay LaMon
Claimant Lawyers(s): Jeff Goodwyn
Respondent(s): LPL Financial LLC, Richard Dearinger
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Stephen Earl Clark
Hearing Site: Columbia, SC
| | $0 |
