Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-02008 | 12/07/2021 | Claimant(s): Shirley Beneke, William Beneke Claimant Lawyers(s): Fred Spigarelli Respondent(s): LPL Financial LLC, Jake Warrington Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Joseph Neal Richardson Hearing Site: Kansas City, MO |  | Expungement |
| 21-01064 | 11/22/2021 | Claimant(s): Molly Rambo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Waddell & Reed Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Robert E. Anderson Hearing Site: Providence, RI | ||
| 20-03651 | 09/16/2021 | Claimant(s): Bradley Thompson Claimant Lawyers(s): Harris Freedman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | ||
| 20-04058 | 08/23/2021 | Claimant(s): Thomas Chaney Claimant Lawyers(s): James P Galvin Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Gene R Thornton, John J. Fitzpatrick, Mary Margaret Bush Hearing Site: Albuquerque, NM | ||
| 20-02927 | 06/03/2021 | Claimant(s): Russell Boaz Claimant Lawyers(s): Zachary Hayes-Macaluso Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX | ||
| 20-03559 | 05/28/2021 | Claimant(s): Alexander Dancy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Harry G. Mason Hearing Site: Atlanta, GA | ||
| 20-03206 | 04/13/2021 | Claimant(s): Paul Kiker Claimant Lawyers(s): Stephen D. Councill Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Harry G. Mason, Philip Michael Moran, James R Stewart Hearing Site: Atlanta, GA | ||
| 20-02710 | 04/08/2021 | Claimant(s): Howard Saxauer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Benjamin F. Breslauer Hearing Site: Las Vegas, NV | ||
| 19-02604 | 01/29/2021 | Claimant(s): Jeffrey Mogensen, Rhonda Mogensen Claimant Lawyers(s): Stephan Louviere Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Paul H. Lamboley Hearing Site: Salt Lake City, UT | | Expungement |
| 20-01514 | 12/03/2020 | Claimant(s): Sandeep Varma Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Randy R. Maher Hearing Site: San Diego, CA |