| 10-05331 | 06/03/2011 | Claimant(s): Andrew Duckett
Claimant Lawyers(s): Andrew James Duckett
Respondent(s): LPL Financial Corporation
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
| | |
| 09-06873 | 07/30/2010 | Claimant(s): James Cunningham
Claimant Lawyers(s): James Cunningham
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
|  | $1,432 |
| 09-04788 | 02/11/2010 | Claimant(s): John Matthews
Claimant Lawyers(s): John R. Matthews
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): Richard L. Warner
Hearing Site: Seattle, WA
| | $0 |
| 06-00811 | 10/30/2007 | Claimant(s): Grace Weber, Elwood and Grace Weber
Claimant Lawyers(s): Michael P. McClaren
Respondent(s): Advest., Edward Carlsen, Merrill Lynch Pierce Fenner & Smith Inc., Roger Faulring
Respondent Lawyers(s): James D. Vannah, Paul K. Stecker
Arbitrator(s): Eugene M. Setel, Karin A. Schlosser, Michael Allen Zeiler
Hearing Site: Buffalo, NY
| | $685,170 |
