| 23-03351 | 08/12/2024 | Claimant(s): Lee Rycraft
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 23-01670 | 08/12/2024 | Claimant(s): Harriet Moskowitz
Claimant Lawyers(s): Chase Carlson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Randy R Freedman, Virginia Lee Perez-Berry, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|  | Expungement |
| 23-01281 | 07/26/2024 | Claimant(s): John Loyd
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth, Kelsey Vasko
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 23-02478 | 07/22/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Rick Smith
Respondent(s): Feng Chen
Respondent Lawyers(s): Feng Kou Chen
Arbitrator(s): John Burritt McArthur
Hearing Site: San Francisco, CA
| | |
| 23-02554 | 07/19/2024 | Claimant(s): Robert Kieckhefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Milwaukee, WI
| | |
| 24-00249 | 07/15/2024 | Claimant(s): Kevin Houser
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier, Jon D. Kaplon
Arbitrator(s): Nancy E. Watters, Daniel James Kortum, Mark A Bilawsky
Hearing Site: Philadelphia, PA
| | |
| 23-02727 | 07/10/2024 | Claimant(s): Aaron Clark
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | |
| 23-02886 | 06/12/2024 | Claimant(s): Amber Stream
Claimant Lawyers(s): Robert Moses
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Richard J. Lawrence
Hearing Site: Seattle, WA
| | |
| 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 |
| 23-02900 | 05/14/2024 | Claimant(s): James Crosson
Claimant Lawyers(s): William Bean
Respondent(s): LPL Financial LLC, Investors Capital Corp., Voya Financial Advisors.
Respondent Lawyers(s): Brian J. Palmeri, David Feldstein, Kelsey L. Vasko
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Providence, RI
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