| 12-03078 | 07/01/2014 | Claimant(s): John S. Walker IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
|  | Expungement |
| 12-01990 | 06/03/2014 | Claimant(s): Barbara Pennington, Michael Pennington, Barbara Pennington IRA, Michael Pennington IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): David Ellis, Ruth-Ellen Post, Frederick J. Myers
Hearing Site: Manchester, NH
| | Expungement |
| 12-02879 | 01/15/2014 | Claimant(s): Arlene Brooke
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Paul Ribner
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-03726 | 10/10/2013 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, John B. Glueckert
Hearing Site: Columbus, OH
| | |
| 12-02938 | 08/06/2013 | Claimant(s): Patricia Wilson
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): James M. Tipton
Hearing Site: Dallas, TX
| | Expungement |
| 10-05182 | 12/19/2012 | Claimant(s): Elizabeth Keen
Claimant Lawyers(s): Joseph R. Soraghan
Respondent(s): LPL Financial LLC, Transamerica Financial Advisors
Respondent Lawyers(s): Amanda C. Hawley, James F. Koehler
Arbitrator(s): Keith E. Mattern, John R. Loss, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | Expungement |
| 10-04235 | 11/14/2011 | Claimant(s): Catherine Pinkas
Claimant Lawyers(s): John Fu
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Frank R Weaver, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | |
| 09-04523 | 10/13/2010 | Claimant(s): Marcia Rasmussen, Richard Rasmussen
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Daniel FeltzL Financial Corporation
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): George A. Abbott, Douglas A. Spier, John R. Loss
Hearing Site: Omaha, NE
| | $0 |
| 09-06815 | 09/24/2010 | Claimant(s): Corinne Matser
Claimant Lawyers(s): Corinne J. Matser
Respondent(s): LPL Financial LLC, Laurence Finn
Respondent Lawyers(s): Amanda C. Hawley, Matthew S. Rork
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $20,809 |
| 09-05512 | 07/13/2010 | Claimant(s): Edgar Baker, Louise Baker
Claimant Lawyers(s): John B. Dempsey
Respondent(s): LPL Financial LLC, Mark Renzini, Virginia Traver, Comm Financial Services, Community Bank & Trust
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Elizabeth A. McKinney, E. William Pastor, Paul J. Greco
Hearing Site: Philadelphia, PA
| | |
