Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-01026 | 11/12/2018 | Claimant(s): Thomas Love Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Carl F. Bowmer Hearing Site: Richmond, VA | ||
| 18-01751 | 11/01/2018 | Claimant(s): David Rath Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): John F. Allgood Hearing Site: Atlanta, GA | ||
| 18-00098 | 07/20/2018 | Claimant(s): George Meyer Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Susan L. Walker Hearing Site: St. Louis, MO | ||
| 17-03370 | 07/05/2018 | Claimant(s): Richard Fisher Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Edward Jones Respondent Lawyers(s): Joseph D'Elia Arbitrator(s): Jack A. Helms Hearing Site: Raleigh, NC | ||
| 17-03122 | 05/14/2018 | Claimant(s): James Biggar, Thomas Graham Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): AXA Advisors Respondent Lawyers(s): Hector D. Geribon Arbitrator(s): Steven Irving Platt Hearing Site: Baltimore, MD | ||
| 09-06621 | 03/21/2011 | Claimant(s): Calvin Samuels Claimant Lawyers(s): Maria S. Wilson Respondent(s): LPL Financial LLC, Harvey Berk Respondent Lawyers(s): N. Nancy Ghabai Arbitrator(s): Robert M. Goldstein Hearing Site: New York, NY |  | Stipulated Award and Expungement |
| 08-01287 | 01/22/2010 | Claimant(s): A. Kovacs Claimant Lawyers(s): Brian E. Bro Respondent(s): LPL Financial LLC Respondent Lawyers(s): N. Nancy Ghabai Arbitrator(s): Mark C. Watler, James A. Parker, Matthew Crump Hearing Site: Houston, TX | ||
| 09-02735 | 01/19/2010 | Claimant(s): Larry Turpin, Independent Executor of th Claimant Lawyers(s): M. Michael McLarty Respondent(s): LPL Financial Corporation, Williams Financial Services Respondent Lawyers(s): N. Nancy Ghabai Arbitrator(s): Michael E. Rohde Hearing Site: Dallas, TX | | $8,456 |
| 08-03509 | 07/27/2009 | Claimant(s): Ronald Morrone Claimant Lawyers(s): Dan A. Druz Respondent(s): IFMG Securities.L Financial Corporation, Sun Life Financial Distributors. Respondent Lawyers(s): N. Nancy Ghabai Arbitrator(s): Daniel J. McCarthy, Abraham Harry Bunis, Thomas A. Abitabile Hearing Site: Newark, NJ |