| 19-03711 | 08/17/2020 | Claimant(s): Carolyn DiPrinzio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): JoAnne Lewis Nolte
Hearing Site: Richmond, VA
| | |
| 19-03379 | 06/16/2020 | Claimant(s): Kevin Sanderford
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC, Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein, Sara B. Davis
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 20-00090 | 06/08/2020 | Claimant(s): Christopher Mise
Claimant Lawyers(s): Brian Luther
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | |
| 19-02830 | 04/06/2020 | Claimant(s): Careena Patel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
| | |
| 19-02740 | 03/17/2020 | Claimant(s): Don Rudolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Corporate Officer, Sara B. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
| | |
| 12-03284 | 04/15/2014 | Claimant(s): Christa Collins, Justus Essman
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Peter W. Howell, Sara B. Davis
Arbitrator(s): Brian G. Mooney, Edith N. Dinneen
Hearing Site: Tampa, FL
|  | Expungement |
| 10-04839 | 02/10/2012 | Claimant(s): John Tubbs
Claimant Lawyers(s): John T. Tubbs
Respondent(s): Rowena Ruff
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Lisa Shusterman
Hearing Site: Louisville, KY
| | $0 |
| 10-00178 | 09/23/2011 | Claimant(s): John Phillips
Claimant Lawyers(s): Daniel Woska
Respondent(s): Daniel Witham, Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Carroll O. Johnson, Bill H. Brister, John Burke Garrett
Hearing Site: Oklahoma City, OK
| | |
| 09-01591 | 04/07/2010 | Claimant(s): James Wortman
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Sovereign Advisers, Uvest Financial Services Group.
Respondent Lawyers(s): Lisa L. Tharpe, Sara B. Davis
Arbitrator(s): Zeb E. Barnhardt, William H. McCullough, Robert O. Belo
Hearing Site: Raleigh, NC
| | $0 |
| 08-04609 | 03/23/2010 | Claimant(s): Jan Carr
Claimant Lawyers(s): Anthony B. Haller
Respondent(s): Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Elliot B. Platt, John L. Braxton, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | |
