| 23-02354 | 11/13/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Mario Rivero
Respondent Lawyers(s): Mario Everildo Rivero
Arbitrator(s): Michael H DuBoff, Kenneth J. Horowitz, Julian Stapleford
Hearing Site: Jersey City, NJ
| | |
| 24-01237 | 11/06/2024 | Claimant(s): Daniel Ray
Claimant Lawyers(s): Daniel Patrick Ray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): David I. Levine, Philip Aaron Tymon, Laura A. Kaster
Hearing Site: Detroit, MI
| | |
| 24-01613 | 10/24/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Laurence Rollins
Respondent Lawyers(s): Laurence Charles Rollins
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
| | |
| 23-01460 | 10/17/2024 | Claimant(s): Kevin Farrow
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): LPL Financial LLC, Cuna Brokerage Services., Suncoast Credit Union
Respondent Lawyers(s): Amy L. Drushal, Neil S. Baritz, Sandra D. Grannum
Arbitrator(s): Jacquelyn M. Shannon, Dempsey Reno Adkins, Andrea M Johnson
Hearing Site: Tampa, FL
| | |
| 22-02189 | 10/04/2024 | Claimant(s): Stephanie Bokor
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Jeffrey M. Bain, Kimberlee S. Ullner, Henry George Grendell
Hearing Site: Cleveland, OH
|  | $0 |
| 23-02806 | 09/11/2024 | Claimant(s): Steven Prestyly
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Harvey R. Linder, Margaret Verdery Little, Dexter Thomas Laughlin
Hearing Site: Norfolk, VA
| | |
| 23-01683 | 09/05/2024 | Claimant(s): Jessica Jung
Claimant Lawyers(s): Andrew S. May
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Richard S. Zaifert, Robert William Copeland, Douglas Charles Weinstein
Hearing Site: Nashville, TN
| | |
| 23-01602 | 08/26/2024 | Claimant(s): Allan Haupert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Mark W Solock
Hearing Site: Milwaukee, WI
| | |
| 23-03030 | 08/23/2024 | Claimant(s): Mark Rothstein
Claimant Lawyers(s): Tadeusz McMahon
Respondent(s): LPL Financial LLC, Independent Financial Group., Centaurus Financial.
Respondent Lawyers(s): Jon D. Kaplon, Michael J. Carey, Sarah J. Kreisman
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
| | |
| 23-03188 | 08/14/2024 | Claimant(s): David Moran, David Moran on behalf of his IRA account
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Robert D. Sussin, Joseph Alfred Davis, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
