| 11-03097 | 05/14/2013 | Claimant(s): Garret Wyckoff IRA, Garret Wyckoff and Judy Wyckoff JTTen
Claimant Lawyers(s): Howard W. Hirschhorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Ilyse Roberta Levison, Morton S. Bunis, Edward W. Morris
Hearing Site: New York, NY
|  | $0 |
| 11-04652 | 05/03/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Paul Jacobs
Respondent Lawyers(s): Paul Joseph Jacobs
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | |
| 12-03541 | 04/09/2013 | Claimant(s): Lisa Davis
Claimant Lawyers(s): Jennifer G. Lloyd
Respondent(s): LPL Financial LLC, Michael Curran
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Leonard E. Benade
Hearing Site: Columbia, SC
| | $213 |
| 12-03529 | 03/21/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Brenda Aslyn
Respondent Lawyers(s): Brenda R. Aslyn
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
| | |
| 12-00628 | 01/24/2013 | Claimant(s): Gail Jefferson IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC, Paul Fitzpatrick
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): John A. Morin, Nickolas F. Monteforte, Susan E. Maloney
Hearing Site: Boston, MA
| | Expungement |
| 10-05182 | 12/19/2012 | Claimant(s): Elizabeth Keen
Claimant Lawyers(s): Joseph R. Soraghan
Respondent(s): LPL Financial LLC, Transamerica Financial Advisors
Respondent Lawyers(s): Amanda C. Hawley, James F. Koehler
Arbitrator(s): Keith E. Mattern, John R. Loss, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | Expungement |
| 11-03318 | 12/14/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Gabrell Chambers
Respondent Lawyers(s): Gabrell Christian Chambers
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 12-01432 | 12/14/2012 | Claimant(s): Mark Ramian
Claimant Lawyers(s): Andrew Keligian
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Carol Ann Jensen
Hearing Site: San Francisco, CA
| | $213 |
| 10-03322 | 12/05/2012 | Claimant(s): Leonard Zisman, Susan Eichler, Estate of Sylvia Zisman, Sylvia Zisman Revocable Liv Trust No. 2, Sylvia Zisman Revocable Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Kathy Busch, Global Planning.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert H. Nelson, Gayle B. Carlson, Joseph John Mantione
Hearing Site: Orlando, FL
| | Expungement |
| 12-01189 | 10/25/2012 | Claimant(s): Bradley Glatter
Claimant Lawyers(s): Bradley Glatter
Respondent(s): LPL Financial LLC, Michael Lutz
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $213 |
