| 18-01540 | 10/17/2018 | Claimant(s): Todd Frank
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 17-03421 | 08/27/2018 | Claimant(s): Brian Behl
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
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| 17-03018 | 08/07/2018 | Claimant(s): Sean McDermott
Claimant Lawyers(s): Armin Sarabi
Respondent(s): LPL Financial LLC, Securities America.
Respondent Lawyers(s): Christina M. Heller, Jon D. Kaplon
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
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| 17-02400 | 06/29/2018 | Claimant(s): Michael Allard
Claimant Lawyers(s): Armin Sarabi
Respondent(s): LPL Financial LLC, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Scott R. Forbush
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 17-01803 | 04/09/2018 | Claimant(s): Bryan Kaarlsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Jon D. Kaplon
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 17-01937 | 04/09/2018 | Claimant(s): Bradley Fischer
Claimant Lawyers(s): Owen Harnett
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton, Jon D. Kaplon
Arbitrator(s): Michael J. Meeusen
Hearing Site: Detroit, MI
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| 17-03022 | 04/09/2018 | Claimant(s): Gregory Powell
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
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| 17-01983 | 03/29/2018 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Jon D. Kaplon
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 17-01129 | 02/05/2018 | Claimant(s): Leonard Valletta
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Pamela H. Roderick
Hearing Site: Albany, NY
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| 16-03224 | 10/09/2017 | Claimant(s): Vivienne Schleu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Jon D. Kaplon, Susan D. Duff
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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