| 19-02008 | 12/07/2021 | Claimant(s): Shirley Beneke, William Beneke
Claimant Lawyers(s): Fred Spigarelli
Respondent(s): LPL Financial LLC, Jake Warrington
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Kansas City, MO
|  | Expungement |
| 20-00067 | 11/29/2021 | Claimant(s): Gary Deardorff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Sara B. Davis
Arbitrator(s): Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 21-00653 | 11/23/2021 | Claimant(s): Lee Hooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
| | |
| 20-01763 | 11/19/2021 | Claimant(s): Stephen Frost
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Stuart D. Summers, Paul Lansing, Vincent S. Mezinko
Hearing Site: Columbus, OH
| | $0 |
| 20-01237 | 11/16/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John Agostino
Respondent Lawyers(s): John S. Agostino
Arbitrator(s): David I. Goldblatt, Anthony J. Cetta, James M. Rhodes
Hearing Site: New York, NY
| | |
| 20-03085 | 11/12/2021 | Claimant(s): Samuel Izaguirre
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Chase Investment Services Corp.
Respondent Lawyers(s): Michael A. Gross, Sara B. Davis
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 20-01114 | 11/10/2021 | Claimant(s): Richard Dudley, R. Dudley on behalf of his IRA accts, R. Dudley AIF for spouse, Anna A. Dudley
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Charles McGarry
Hearing Site: Dallas, TX
| | Expungement |
| 20-04117 | 11/02/2021 | Claimant(s): Kurt Kerrigan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 20-00478 | 11/02/2021 | Claimant(s): Christine Kearney
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): LPL Financial LLC, Gregory Kearney
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson
Hearing Site: Syracuse, NY
| | $0 |
| 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
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