Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-00835 | 09/13/2019 | Claimant(s): Austin Frye Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplan Arbitrator(s): Mark C. Perry Hearing Site: Boca Raton, FL | ||
| 18-04358 | 09/11/2019 | Claimant(s): Wayne Wagner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Louis H Miron Hearing Site: Wilmington, DE | ||
| 19-00047 | 08/29/2019 | Claimant(s): Mark Wilburn Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 18-03914 | 08/23/2019 | Claimant(s): Clayton Holcomb Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Thomas F. Barnett Arbitrator(s): David I. Levine Hearing Site: San Francisco, CA | ||
| 19-00342 | 08/19/2019 | Claimant(s): Lee Thomson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Patricia Beaujean Lehtola Hearing Site: Dallas, TX | ||
| 18-02536 | 08/12/2019 | Claimant(s): Joan Mayes Claimant Lawyers(s): Ralph W. Heninger Respondent(s): LPL Financial LLC, Jeff Newburn Respondent Lawyers(s): Brian Harlan, Dochtor Kennedy Arbitrator(s): Leo G. Stern Hearing Site: Des Moines, IA |  | Expungement |
| 19-00108 | 08/09/2019 | Claimant(s): Gary Wageman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Brian Harlan Arbitrator(s): Helen Marinak Blohm Hearing Site: Bismarck, ND | ||
| 18-03864 | 07/31/2019 | Claimant(s): Julie Castillo Claimant Lawyers(s): Julie Hermes Castillo Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Allen Kilik, Robert Lawrence Ostrov, Tiffany Jeanette Brown Hearing Site: Boca Raton, FL | ||
| 18-03991 | 07/30/2019 | Claimant(s): Michael Abramo Claimant Lawyers(s): N. Nancy Ghabai, Esq. Respondent(s): LPL Financial LLC, UBS Financial Services Inc., Citigroup Global Markets. Respondent Lawyers(s): Anthony J. Borrelli, David I. Hantman, Esq., Jon D. Kaplon Arbitrator(s): Gerard S. Marsan Hearing Site: Boston, MA | ||
| 19-00089 | 07/08/2019 | Claimant(s): Wilson Garnett Claimant Lawyers(s): Harris Freedman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Brian P. Harlan Arbitrator(s): Thomas J. Patka Hearing Site: Tampa, FL |