| 14-00307 | 09/08/2016 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Zent, Nicolas Tabellion
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Isidoro Berkman, Gary S. DeWeese, Mark Edward Hoaglin
Hearing Site: San Francisco, CA
| | |
| 14-02000 | 02/05/2015 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Darin Pastor
Respondent Lawyers(s): Hayden Trubitt
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
| | |
| 13-00612 | 10/21/2014 | Claimant(s): Kerry Edwards
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins, Jeffrey K. Compton
Arbitrator(s): Caryl S. Bernstein, Peter H. Goldberg, Karla Jayne Letsche
Hearing Site: Washington, DC
|  | $100,250 |
| 12-00578 | 10/09/2013 | Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04785 | 05/29/2013 | Claimant(s): Julie Haupt, Robert Haupt, Julie Haupt IRA, Julie Haupt Roth IRA, Robert Haupt IRA, Robert Haupt Roth IRA, Robert K. Haupt Family Revocable Trust
Claimant Lawyers(s): Ronald E. Miller, Thomas C. Bradley
Respondent(s): Dudley Probert, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Donald N. Tolin, Suanne M. Parro, David L. Erickson
Hearing Site: Salt Lake City, UT
| | Expungement |
| 12-03529 | 03/21/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Brenda Aslyn
Respondent Lawyers(s): Brenda R. Aslyn
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
| | |
| 11-00911 | 10/23/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Barbara Horvath
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Michael G. Clark, Barton J. Brewer, David W. Dresnick
Hearing Site: Los Angeles, CA
| | |
| 11-03947 | 06/21/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Wendy Warren
Respondent Lawyers(s): Wendy Collins Warren
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 10-03926 | 04/12/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Michael Lingner
Respondent Lawyers(s): Michael John Lingner
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | |
| 10-03928 | 01/24/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): John Wirth
Respondent Lawyers(s): John G. Wirth
Arbitrator(s): E. William Pastor
Hearing Site: Wilmington, DE
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