| 19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
|  | $0 |
| 19-03053 | 05/07/2020 | Claimant(s): Jeffrey Gore
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
| 19-02662 | 04/30/2020 | Claimant(s): Brian Groh
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | |
| 19-02390 | 04/14/2020 | Claimant(s): Shon Flaharty
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 18-03740 | 04/13/2020 | Claimant(s): Donna Kun
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): LPL Financial LLC, David Pickler
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): William L. Cravens, Todd Fernell Brown, Will Pryor
Hearing Site: Dallas, TX
| | Expungement |
| 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 |
| 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
| | |
| 18-01725 | 04/03/2020 | Claimant(s): Peter Josten
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): LPL Financial LLC, Moors & Cabot.
Respondent Lawyers(s): George D. Sullivan, Robert A. Giacovas
Arbitrator(s): Robert E. Anderson, Suzanne M. Carter, Linda Frances Spiegel
Hearing Site: Newark, NJ
| | $0 |
| 19-03204 | 03/18/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Christopher Canorro
Respondent Lawyers(s): Christopher Paul Canorro
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 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
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