| 11-02224 | 10/05/2012 | Claimant(s): Robert Bennie
Claimant Lawyers(s): Christopher B. Trowbridge
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Larry R. Trussell, Steven C. Despotovich, James E. Michaels
Hearing Site: Omaha, NE
| | |
| 11-04132 | 09/05/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Clarence Anderson
Respondent Lawyers(s): Clarence Joseph Anderson
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 11-03947 | 06/21/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Wendy Warren
Respondent Lawyers(s): Wendy Collins Warren
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 10-04359 | 06/13/2012 | Claimant(s): High Ridge Fire Protection District
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): LPL Financial LLC, Richard Glenn
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Alan A. Sachs
Hearing Site: St. Louis, MO
|  | Expungement |
| 11-01036 | 06/06/2012 | Claimant(s): Kawaljit Bedi, Ravinder Bedi
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Susan B. Gans-Smith, Thanayi J. Lindsey, Daniel Su
Hearing Site: Los Angeles, CA
| | $141,250 |
| 10-02668 | 06/01/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Hopkins
Arbitrator(s): Thomas J. Ray
Hearing Site: Louisville, KY
| | |
| 11-04588 | 05/30/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Francis Lemieux
Respondent Lawyers(s): Francis Ephraim Lemieux
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | |
| 10-00801 | 04/04/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s): David Chapman, Paul Clayton, Sheri Chapman, Sherry West, EPWM Group.
Respondent Lawyers(s): Brian S. Harnikorate Officer, Michael P. McCloskey, Michael T. Conway
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, James A. Bush
Hearing Site: San Diego, CA
| | |
| 11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc.
Claimant Lawyers(s): Ronald B. Ziegler
Respondent(s): LPL Financial LLC, Peter Reinecke
Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies
Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley
Hearing Site: St. Louis, MO
| | Expungement |
| 11-02607 | 03/08/2012 | Claimant(s): Roth IRA fbo Judy L. O'Briien, SEP IRA fbo Thomas O'Brien
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Harry J Saginaw
Hearing Site: Oklahoma City, OK
| | $5,575 |
