Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-03030 | 08/23/2024 | Claimant(s): Mark Rothstein Claimant Lawyers(s): Tadeusz McMahon Respondent(s): LPL Financial LLC, Independent Financial Group., Centaurus Financial. Respondent Lawyers(s): Jon D. Kaplon, Michael J. Carey, Sarah J. Kreisman Arbitrator(s): Erik R. Siering Hearing Site: San Diego, CA | ||
| 24-00249 | 07/15/2024 | Claimant(s): Kevin Houser Claimant Lawyers(s): Lawton R. Graves Respondent(s): LPL Financial LLC, Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier, Jon D. Kaplon Arbitrator(s): Nancy E. Watters, Daniel James Kortum, Mark A Bilawsky Hearing Site: Philadelphia, PA | ||
| 23-01199 | 03/06/2024 | Claimant(s): William Dendy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Mina Madani Hearing Site: Houston, TX | ||
| 23-02249 | 01/05/2024 | Claimant(s): Simone Varessi Claimant Lawyers(s): Simone Varessi Respondent(s): LPL Financial LLC, William Faith Respondent Lawyers(s): Jon D. Kaplon, William Lawrence Faith Arbitrator(s): Andrew W. Levin Hearing Site: Los Angeles, CA |  | $0 |
| 23-01207 | 12/19/2023 | Claimant(s): Andrew Denney Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Leonard Arthur Nelson Hearing Site: Kansas City, MO | ||
| 23-01158 | 11/10/2023 | Claimant(s): Allen Ostrofe Claimant Lawyers(s): John D. Stewart Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Daniel M. Yamshon Hearing Site: Reno, NV | ||
| 21-01249 | 08/17/2022 | Claimant(s): Rex Nassour IRA Claimant Lawyers(s): Michael S. Hill Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: Reno, NV | | Expungement |
| 21-00963 | 03/28/2022 | Claimant(s): Edwin McClure III Claimant Lawyers(s): Zachary Morse Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: San Diego, CA | ||
| 21-01116 | 12/10/2021 | Claimant(s): Andy Schwartz Claimant Lawyers(s): John D. Stewart Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Patricia Kathleen Costello Hearing Site: Jersey City, NJ | ||
| 20-04224 | 12/09/2021 | Claimant(s): Daniel Larsen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT |