| 22-01699 | 06/10/2024 | Claimant(s): The Estate of Margaret Mahaney-Smith
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Frederick Arbusto
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai
Hearing Site: New Orleans, LA
|  | Expungement |
| 20-04056 | 07/28/2022 | Claimant(s): Eilesia Dixon
Claimant Lawyers(s): Frank Breese
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Stuart K. Furman, Lenderrick Taylor, Deanisha Franchae Hopson
Hearing Site: Jackson, MS
| | |
| 21-01136 | 10/26/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Atif Mughal
Respondent Lawyers(s): Atif Iqbal Mughal
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 21-01544 | 09/14/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Cesar Olivares
Respondent Lawyers(s): Cesar Emilio Olivares
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 20-03438 | 03/31/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Jacob Franco
Respondent Lawyers(s): Jacob Franco
Arbitrator(s): F. Guthrie Castle
Hearing Site: Albuquerque, NM
| | |
| 20-03415 | 03/04/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Jameile D. Cawley
Arbitrator(s): B. John Dill
Hearing Site: Boston, MA
| | |
| 19-02566 | 04/07/2020 | Claimant(s): Maria Freeman
Claimant Lawyers(s): Alex S. Aughtry
Respondent(s): LPL Financial LLC, Raymond Daigle, Robert Comeaux, Walter Bond, Commonwealth Financial Network, Comeaux Bond Daigle
Respondent Lawyers(s): Donna Phillips Currault, John W. Joyce
Arbitrator(s): David A. Schuler, Keith E. Robinson, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
| | $600 |
| 16-02543 | 09/11/2017 | Claimant(s): Paul Saltaformaggio
Claimant Lawyers(s): John W. Joyce
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton, Jr.
Arbitrator(s): Dale A. Kaliszeski, Ashley Lucile Belleau, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
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