| 23-02354 | 11/13/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Mario Rivero
Respondent Lawyers(s): Mario Everildo Rivero
Arbitrator(s): Michael H DuBoff, Kenneth J. Horowitz, Julian Stapleford
Hearing Site: Jersey City, NJ
| | |
| 23-01460 | 10/17/2024 | Claimant(s): Kevin Farrow
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): LPL Financial LLC, Cuna Brokerage Services., Suncoast Credit Union
Respondent Lawyers(s): Amy L. Drushal, Neil S. Baritz, Sandra D. Grannum
Arbitrator(s): Jacquelyn M. Shannon, Dempsey Reno Adkins, Andrea M Johnson
Hearing Site: Tampa, FL
| | |
| 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 |
| 23-01670 | 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 |
| 22-01842 | 07/30/2024 | Claimant(s): Randy Dean
Claimant Lawyers(s): Randy K. Dean
Respondent(s): Kelly Gillikin
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Tracy L. Allen, Scott C. Matasar, Tim Warner
Hearing Site: Cleveland, OH
| | Expungement |
| 22-02855 | 08/22/2023 | Claimant(s): Kenneth Smith IRA
Claimant Lawyers(s): Chase Carlson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Kenneth R. Starr, Michael Anthony Barrella, Kevin M Schmitt
Hearing Site: Tampa, FL
| | Expungement |
| 18-02917 | 08/11/2023 | Claimant(s): Bill Nguyen
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): TD Ameritrade., Nguyen Capital Partners
Respondent Lawyers(s): Neil S. Baritz, W. Andrew Clayton
Arbitrator(s): Langfred W. White, Darryl C. Wilson, Gayle B. Carlson
Hearing Site: Tampa, FL
| | $1,207,550 |
| 21-03069 | 06/29/2023 | Claimant(s): Mark Mills
Claimant Lawyers(s): Thomas C Allison
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
| | $10,440 |
| 19-01544 | 06/12/2023 | Claimant(s): Dawn Forman
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 21-02625 | 05/30/2023 | Claimant(s): Jeanette Long
Claimant Lawyers(s): Michael Melito
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Charles G. Michaels, Rey Hernandez Julian, Kimberly Johnson
Hearing Site: Denver, CO
| | Expungement |
