| 14-02053 | 04/06/2015 | Claimant(s): Tamara Collins
Claimant Lawyers(s): Tamara J. Collins
Respondent(s): LPL Financial LLC, Scott Wilson
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert G. Scott
Hearing Site: Wichita, KS
|  | $6,631 |
| 13-02062 | 03/10/2015 | Claimant(s): Brian Lehner
Claimant Lawyers(s): Brian J Laliberte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Richard W. Dissen, Mary K. Flask, Dieter Domanovic
Hearing Site: Cleveland, OH
| | |
| 13-00938 | 03/10/2015 | Claimant(s): William Farrington, Academy Rubber Stamp.
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): LPL Financial LLC, Douglas Flynn, Richard Zito, Flynn Zito Capital Management
Respondent Lawyers(s): Ryan Gustafson
Arbitrator(s): Lise Gabrielle Hunter, Steven J. Brill, Geri S. Krauss
Hearing Site: New York, NY
| | Expungement |
| 14-00286 | 03/03/2015 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Douglas R. Jennings
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): C. Robert Rittberger, Amy L. Wachs, Kevin Brodar
Hearing Site: Cleveland, OH
| | |
| 13-03113 | 02/26/2015 | Claimant(s): Peter Cushing
Claimant Lawyers(s): Todd Zuckerbrod
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ericka B. Gray, Nickolas F. Monteforte, Jennifer Goodreau Gonzalez
Hearing Site: Boston, MA
| | |
| 14-00001 | 02/26/2015 | Claimant(s): Steven Carlson
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Melanie Black Dubis
Arbitrator(s): Leonard E. Benade, Fred Kelner, Lynda Joyce Howell
Hearing Site: Raleigh, NC
| | |
| 14-02000 | 02/05/2015 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Darin Pastor
Respondent Lawyers(s): Hayden Trubitt
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
| | |
| 14-01594 | 01/14/2015 | Claimant(s): Barbara Arno, Michael Arno
Claimant Lawyers(s): John A. Hubbard
Respondent(s): LPL Financial LLC, Rob Baitinger
Respondent Lawyers(s): Michael Regan
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
| | $600 |
| 13-02673 | 12/10/2014 | Claimant(s): Stephen Heil
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): LPL Financial LLC, Dennis Ulrich, Jeffrey Westerhold, Kimberly Loy, Steven Langendorf
Respondent Lawyers(s): Rachel E. Stephens, Thomas E. Berry
Arbitrator(s): Thomas J. Ray, Joseph V. Simeri, David J. Bokal
Hearing Site: St. Louis, MO
| | |
| 13-02801 | 11/18/2014 | Claimant(s): Carolyn Erskine
Claimant Lawyers(s): Christopher C. Cooke
Respondent(s): LPL Financial LLC, Michael Allard, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Louie H. Castoria, Michael T. Regan
Arbitrator(s): William Ziering, Thomas J. LoSavio, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
