| 13-00342 | 09/30/2014 | Claimant(s): Cynthia Siegle Trust, DTD 6/26/1990
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Susan J. Alexander, Ralph L. Jacobson, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-02997 | 08/28/2014 | Claimant(s): Martha Meripol, Ronald Meripol, Martha L. Meripol IRA, Ronald P. Meripol IRA
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): LPL Financial LLC, Ewald Vonkanel
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ralph H. Erickson, Erik R. Siering, Darrell Thomas Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03271 | 06/04/2014 | Claimant(s): Katharina Taylor, Maxwell Taylor
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Valynda A. Ewton, Arthur H. Geffen, William E. Hartsfield
Hearing Site: Dallas, TX
| | Expungement |
| 12-02762 | 02/21/2014 | Claimant(s): Sandra J. Smith, IRA
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Allan Weiss
Hearing Site: Nashville, TN
| | Expungement |
| 12-02896 | 01/14/2014 | Claimant(s): Dominick McGrath
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): John F. Cockburn, Judith A. Cochrane, Philip Aaron Tymon
Hearing Site: Helena, MT
| | Expungement |
| 12-02426 | 09/19/2013 | Claimant(s): Larry Mastropietro
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Constance d'Angelis, Frank Brenner, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | Expungement |
| 09-06930 | 11/08/2011 | Claimant(s): Patsy Potter
Claimant Lawyers(s): John J. Miller
Respondent(s): Brent McCune, Sagepoint Financial., Randall Coble, Mutual Service Corporation
Respondent Lawyers(s): David J. Freniere, Greg Curley
Arbitrator(s): Lonnie L. Cunningham, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
| | $0 |
| 08-03605 | 10/05/2009 | Claimant(s): Donna G. Leinart-Clegg, Indiv. &
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Mills, Waterstone Financial Group
Respondent Lawyers(s): David J. Freniere, Mark Wayne Mills
Arbitrator(s): Sharon R. Merriman, Kathleen A. DeLaney, James A. Morrow
Hearing Site: Indianapolis, IN
| | $500,000 |
| 06-05199 | 01/18/2008 | Claimant(s): David Maurice, Lois Carrier
Claimant Lawyers(s): Jeffrey B. Kelvin
Respondent(s): LPL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Joan Stearns Johnsen, John A. Morin, B. John Dill
Hearing Site: Boston, MA
| | |
| 06-03017 | 11/19/2007 | Claimant(s): Conard Moose
Claimant Lawyers(s): John F. Hanzel
Respondent(s): Dennis ShidlerL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): Daniel R. D'Alberto, David J. Freniere
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $23,500 |
