| 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 |
| 20-01036 | 01/19/2022 | Claimant(s): Johnny Rodriguez
Claimant Lawyers(s): Robert Brian Volynsky
Respondent(s): LPL Financial LLC, Dawn West
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Peter A. Goldman, Peter A. Seibel, John Michael Bergin
Hearing Site: New York, NY
| | Expungement |
| 19-01044 | 02/17/2021 | Claimant(s): Shawna Mead
Claimant Lawyers(s): Shawna Danette Mead
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert L. Chase, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
| | |
| 18-02759 | 11/06/2019 | Claimant(s): Elizabeth Alvarez-Orozco, Michael Orozco
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Louis David Huss
Hearing Site: Miami, FL
| | $0 |
| 18-03914 | 08/23/2019 | Claimant(s): Clayton Holcomb
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | |
| 17-01257 | 08/22/2018 | Claimant(s): Raul Mendez
Claimant Lawyers(s): W. Fulton Broemer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
| | |
| 16-02031 | 04/02/2018 | Claimant(s): Loyd Guinn, Sandra Guinn
Claimant Lawyers(s): Steven G. Durio
Respondent(s): LPL Financial LLC, Steven Darden, William Financial Advisors
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Jeff Abrams, Ashley Lucile Belleau, Mark A. Myers
Hearing Site: New Orleans, LA
| | Expungement |
| 16-01770 | 11/27/2017 | Claimant(s): Philip Evans
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Barry DekreekL Financial LLC
Respondent Lawyers(s): Mickey Wright, Thomas F. Barnett
Arbitrator(s): James R. McGuone, Ronelle W. Genser, Marcia A. Ogilvie
Hearing Site: Atlanta, GA
| | Expungement |
| 15-02271 | 08/16/2016 | Claimant(s): Todd Storaska
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): LPL Financial LLC, Mark Durham
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Daniel A. Kile, James W. Kerr, Wanda Martinez
Hearing Site: Dallas, TX
| | |
| 15-01327 | 02/11/2016 | Claimant(s): Colleen Colabella & Bovio Colabella
Claimant Lawyers(s): Colleen Colabella
Respondent(s): LPL Financial LLC, Michael Goncalves
Respondent Lawyers(s): Dennis M. Carnelli, Thomas F. Barnett
Arbitrator(s): Michael P. Marryshow
Hearing Site: Hartford, CT
| | $213 |
