19-01360 | 11/22/2019 | Claimant(s): Terrance Arges Claimant Lawyers(s): Kevin J. Mirch Respondent(s): LPL Financial LLC Respondent Lawyers(s): David S. Markun Arbitrator(s): Steven A. Fox, Mitchell Lee Lathrop, Dan Deuprey Hearing Site: San Diego, CA
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12-00609 | 05/14/2013 | Claimant(s): Eric Sigdestad, Shane Hertel Claimant Lawyers(s): Jonah A. Toleno Respondent(s): LPL Financial LLC Respondent Lawyers(s): David S. Markun Arbitrator(s): Jo-Ann C. Little, Jon C. Milliken Hearing Site: San Diego, CA
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11-04652 | 05/03/2013 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David S. Markun Respondent(s): Paul Jacobs Respondent Lawyers(s): Paul Joseph Jacobs Arbitrator(s): Christine L. Stetson Hearing Site: Houston, TX
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11-00517 | 08/17/2012 | Claimant(s): David Olson Claimant Lawyers(s): Scott R. Shewan Respondent(s): Thomas Fife, Associated Securities Corp. Respondent Lawyers(s): David S. Markun Arbitrator(s): Benjamin F. Breslauer, Robert F. Saint-Aubin, Alfred S. Samulon Hearing Site: Los Angeles, CA
| | Expungement |
11-01036 | 06/06/2012 | Claimant(s): Kawaljit Bedi, Ravinder Bedi Claimant Lawyers(s): David Neuman Respondent(s): LPL Financial LLC Respondent Lawyers(s): David S. Markun Arbitrator(s): Susan B. Gans-Smith, Thanayi J. Lindsey, Daniel Su Hearing Site: Los Angeles, CA
| | $141,250 |
11-04588 | 05/30/2012 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David S. Markun Respondent(s): Francis Lemieux Respondent Lawyers(s): Francis Ephraim Lemieux Arbitrator(s): Colette Manoil Hearing Site: Boston, MA
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09-03930 | 03/01/2011 | Claimant(s): Jesse Gomez Claimant Lawyers(s): Stephen F. Henry Respondent(s): LPL Financial LLC Respondent Lawyers(s): David S. Markun Arbitrator(s): E. Duane Stephens, William Michael Samsel, John C McGourty Hearing Site: San Francisco, CA
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10-00688 | 07/12/2010 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David S. Markun Respondent(s): Jeffrey Hollingsworth Respondent Lawyers(s): Jeffrey Scott Hollingsworth Arbitrator(s): G. E. Craig Doupe Hearing Site: Seattle, WA
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03-07616 | 08/09/2007 | Claimant(s): Darren Gryniuk Claimant Lawyers(s): David S. Markun Respondent(s): Citigroup Global Markets., Jack B. Grubman, Kevin Keating Respondent Lawyers(s): Jennifer M. Blunt Arbitrator(s): Samuel A. Alward, Karen V. Cunningham, Kelli J. Jareaux Hearing Site: Washington, DC
| | Stipulated Award and Expungement |