Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 17-01895 | 09/19/2018 | Claimant(s): David Peterson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Jonathan B. Gilbert Hearing Site: Denver, CO | ||
| 18-00232 | 09/19/2018 | Claimant(s): John Hyland Claimant Lawyers(s): Michael Bessette Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Robert E. Anderson Hearing Site: Newark, NJ | ||
| 17-03421 | 08/27/2018 | Claimant(s): Brian Behl Claimant Lawyers(s): Michael Bessette Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Tracy L. Allen Hearing Site: Milwaukee, WI | ||
| 17-01257 | 08/22/2018 | Claimant(s): Raul Mendez Claimant Lawyers(s): W. Fulton Broemer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Thomas F. Barnett Arbitrator(s): R. Lee Britton Jr. Hearing Site: Houston, TX | ||
| 18-01028 | 08/21/2018 | Claimant(s): Tyler Smith Claimant Lawyers(s): Robert L. Hartley Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Susan L. Walker Hearing Site: Chicago, IL | ||
| 17-03018 | 08/07/2018 | Claimant(s): Sean McDermott Claimant Lawyers(s): Armin Sarabi Respondent(s): LPL Financial LLC, Securities America. Respondent Lawyers(s): Christina M. Heller, Jon D. Kaplon Arbitrator(s): Peter N. Thompson Hearing Site: Minneapolis, MN | ||
| 18-00098 | 07/20/2018 | Claimant(s): George Meyer Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Susan L. Walker Hearing Site: St. Louis, MO | ||
| 17-02400 | 06/29/2018 | Claimant(s): Michael Allard Claimant Lawyers(s): Armin Sarabi Respondent(s): LPL Financial LLC, National Planning Corporation Respondent Lawyers(s): Jon D. Kaplon, Scott R. Forbush Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA | ||
| 17-01184 | 05/25/2018 | Claimant(s): Agnes Harris, Donald Harris, Trustees of their Retirement Accounts, Trustees of Their Family Trust Claimant Lawyers(s): Stuart R. Berkowitz Respondent(s): LPL Financial LLC, Robert Mitchell Respondent Lawyers(s): Thomas Barnett Arbitrator(s): Michael L. Lyons, Tracy L. Allen, Brian Clinton Underwood Hearing Site: St. Louis, MO |  | Expungement |
| 17-03493 | 05/01/2018 | Claimant(s): Corey Ross Claimant Lawyers(s): Corey Douglas Ross Respondent(s): LPL Financial LLC Respondent Lawyers(s): Autumn Crowell Arbitrator(s): Clydia Jean Cuykendall Hearing Site: Seattle, WA |