| 16-00150 | 12/19/2019 | Claimant(s): Joseph Long, Joseph Duane Long IRA, PTC Cust IRA FBO Joseph Duane Long, PTC Cust IRA FBO Peggy Long, Joseph Duane Long and Peggy Long JJTEN
Claimant Lawyers(s): David M. Gaba
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Barbara Black, James Howell Garrison, William Finley Hamel
Hearing Site: Charlotte, NC
|  | $550,398 |
| 16-01495 | 06/28/2018 | Claimant(s): David Holcomb, Ginger Holcomb, Williams Sanders, The Estate of Sam E. Jones III, Ginger
Claimant Lawyers(s): Charles A. McCallum
Respondent(s): Brian Anderson, Anderson Pewitt & Associates., Anderson Pewitt & Associtates. d/b/L Financial Holdings., Weybridge Capital Partners, GP.
Respondent Lawyers(s): Bradley B. Rounsaville, Richard Frankowski
Arbitrator(s): Steven P. Gregory, Constance P. Barr, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
| 15-02117 | 12/19/2017 | Claimant(s): Cust IRA FBO Julia Dobbins Joyce, Cust IRA FBO Kaye C. Idol, Cust IRA FBO Steven Michael Joyce, Cust IRA FBO Walter Lane Idol Jr., Cust Rollover IRA FBO Paschal Dobbins, Steven Joyce and Julia Joyce JTTEN, Walter Idol Jr & Kaye Idol JTTEN
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Michael E. Weddington, Thomas Joseph Atkinson, Danny Lynn Ingram
Hearing Site: Raleigh, NC
| | $462,080 |
| 16-02781 | 07/20/2017 | Claimant(s): Patrick Dwyer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Steven N. Ainbinder, Barry David Thorpe, Keith Robert Santillo
Hearing Site: Miami, FL
| | |
| 15-01640 | 12/06/2016 | Claimant(s): Bonnie Shepherd, Holton Shepherd, Robert Young, 109 U Pull It. Robert C. Young, Holton & Bonnie Shepherd
Claimant Lawyers(s): Patricia L. Vannoy, Ryon M. McCabe
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Richard S. Zaifert, Lynne T. Albert, Richard James Igou
Hearing Site: Raleigh, NC
| | $119,177 |
| 15-01288 | 06/13/2016 | Claimant(s): Geraldine James, James Living Trust
Claimant Lawyers(s): David M. Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Robert M. Stein, G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $78,341 |
| 14-00170 | 05/19/2015 | Claimant(s): Juan Rosado
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Bradley B. Rounsaville, Roberto Quinones
Arbitrator(s): Ron Pekoe, Robert H. Putnam, Herbert Branitsky
Hearing Site: San Juan, PR
| | $1,000,000 |
| 12-00369 | 12/12/2014 | Claimant(s): Donald Hubbard
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Alan B. Goldstein, George H. Rausch, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | $0 |
| 12-01209 | 09/05/2014 | Claimant(s): Charles Kinbar, Evelyn Kinbar
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Cynthia H. Plishtin, Joseph H. Cerame, Marilyn Chin
Hearing Site: Newark, NJ
| | Expungement |
| 12-02543 | 06/17/2014 | Claimant(s): Jill Meyer, William Meyer, William G. Meyer, as Trustee
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Nancy J. Cliff, Gustavus L. Pearthree, Philip L. Manczak
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
