| 18-02320 | 07/02/2019 | Claimant(s): Peter Covino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, VSR Financial Services., Prospera Financial Services.
Respondent Lawyers(s): Brian Harlan, Jeremy Carr, William M. Schmitt
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Boise, ID
| | |
| 18-00066 | 06/12/2019 | Claimant(s): Mary Motsay, Michael Motsay, Michael L. Motsay, IRA and Accounts
Claimant Lawyers(s): Michael Motsay
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Kenneth R. Starr, Philip L. Manczak, James Mathieu
Hearing Site: Tampa, FL
|  | Expungement |
| 18-04098 | 05/22/2019 | Claimant(s): Veronica Gillotte
Claimant Lawyers(s): Veronica Gillotte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian P. Harlan
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 18-03213 | 04/23/2019 | Claimant(s): Nisha Varma
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Cetera Investment Services LLC
Respondent Lawyers(s): David J. Freniere, Sean T. Needham
Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas
Hearing Site: Houston, TX
| | Expungement |
| 18-02818 | 03/04/2019 | Claimant(s): Scott Bishop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian P. Harlan
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | |
| 18-02633 | 02/25/2019 | Claimant(s): Gregory Powell
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): J. Maxwell Williams
Hearing Site: Birmingham, AL
| | |
| 18-01186 | 01/30/2019 | Claimant(s): Donald Clark
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 18-00864 | 01/10/2019 | Claimant(s): Vincent Camarda
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 17-01064 | 01/09/2019 | Claimant(s): Albert Kaufman
Claimant Lawyers(s): Albert Duncan Kaufman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
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