| 14-02396 | 02/18/2016 | Claimant(s): Jonathan Freeze
Claimant Lawyers(s): Alan H. Perer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James J. Puhala, John P. Abriola, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
| | |
| 15-01327 | 02/11/2016 | Claimant(s): Colleen Colabella & Bovio Colabella
Claimant Lawyers(s): Colleen Colabella
Respondent(s): LPL Financial LLC, Michael Goncalves
Respondent Lawyers(s): Dennis M. Carnelli, Thomas F. Barnett
Arbitrator(s): Michael P. Marryshow
Hearing Site: Hartford, CT
|  | $213 |
| 13-03731 | 11/19/2015 | Claimant(s): Charles Horton
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): I. Douglas Dunipace, Jerry H. Friedland, Zeek Ojeh
Hearing Site: Phoenix, AZ
| | $0 |
| 13-03624 | 11/16/2015 | Claimant(s): Freddy Holcomb
Claimant Lawyers(s): R. Leslie Waycaster, Jr
Respondent(s): LPL Financial LLC, Michael Fortner
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | $37,329 |
| 15-01081 | 11/10/2015 | Claimant(s): Marilyn Green, Melissa Green
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $52,387 |
| 14-00989 | 06/29/2015 | Claimant(s): Patricia Marshall Revocable Trust
Claimant Lawyers(s): Thomas K. Caldwell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert J. Scafuri, Jacqueline R. Fox, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Expungement |
| 13-00505 | 06/10/2015 | Claimant(s): Adam M. Susser Special Needs Irrev. Trst
Claimant Lawyers(s): Leonard Haberman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monica I. Salis, Will Murphy, Martin M. Van Luven
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02097 | 06/09/2015 | Claimant(s): Joseph McGuire, Leslie McGuire
Claimant Lawyers(s): Bradd Milove, Jacob Pyle
Respondent(s): LPL Financial LLC, David Hart
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles F. Boufford, Celeste A. Beron, Norma Abbene
Hearing Site: Charlotte, NC
| | $725,000 |
| 14-01930 | 05/22/2015 | Claimant(s): Terri Shaul
Claimant Lawyers(s): Stephen M. Katz
Respondent(s): LPL Financial LLC, Jay Cohen
Respondent Lawyers(s): Michelle W. Johnson
Arbitrator(s): Franklin Raymond McIntyre, Robert A. Dean, Edward Martin Davidson
Hearing Site: Atlanta, GA
| | |
| 12-03853 | 04/07/2015 | Claimant(s): Elba Soler
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tom C. Barnett
Arbitrator(s): Helen E. Huyler, John D. Mattingly, Rudolph Andrew Bata
Hearing Site: Atlanta, GA
| | $95,375 |
