| 10-03928 | 01/24/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): John Wirth
Respondent Lawyers(s): John G. Wirth
Arbitrator(s): E. William Pastor
Hearing Site: Wilmington, DE
| | |
| 09-06815 | 09/24/2010 | Claimant(s): Corinne Matser
Claimant Lawyers(s): Corinne J. Matser
Respondent(s): LPL Financial LLC, Laurence Finn
Respondent Lawyers(s): Amanda C. Hawley, Matthew S. Rork
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
|  | $20,809 |
| 09-06873 | 07/30/2010 | Claimant(s): James Cunningham
Claimant Lawyers(s): James Cunningham
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $1,432 |
| 08-02958 | 07/26/2010 | Claimant(s): Anna Rasmussen, Robert Jack Rasmussen, Cust. Acct., Samuel Robert Rasmussen, Taylor Marie Rasmussen Cust. Acct.
Claimant Lawyers(s): Gregory A. Adamski
Respondent(s): LPL Financial LLC, John Donaldson, Professional Wealth Management.
Respondent Lawyers(s): Paul Weltlich, Peter B. Shaeffer
Arbitrator(s): Robin David, James F. Carlson, Hyram A. Evans
Hearing Site: Chicago, IL
| | $0 |
| 09-07168 | 07/20/2010 | Claimant(s): Cecelia Cook
Claimant Lawyers(s): Cecelia Wilson Cook
Respondent(s): LPL Financial LLC, Randall Dyches
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Donald G. Kennedy
Hearing Site: Columbia, SC
| | $213 |
| 09-05512 | 07/13/2010 | Claimant(s): Edgar Baker, Louise Baker
Claimant Lawyers(s): John B. Dempsey
Respondent(s): LPL Financial LLC, Mark Renzini, Virginia Traver, Comm Financial Services, Community Bank & Trust
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Elizabeth A. McKinney, E. William Pastor, Paul J. Greco
Hearing Site: Philadelphia, PA
| | |
| 10-00688 | 07/12/2010 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Jeffrey Hollingsworth
Respondent Lawyers(s): Jeffrey Scott Hollingsworth
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | |
| 09-04788 | 02/11/2010 | Claimant(s): John Matthews
Claimant Lawyers(s): John R. Matthews
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): Richard L. Warner
Hearing Site: Seattle, WA
| | $0 |
| 09-04708 | 02/04/2010 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Robert E. Dunn
Respondent(s): LPL Financial LLC, Stephen Lomsdalen
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $163 |
| 08-01287 | 01/22/2010 | Claimant(s): A. Kovacs
Claimant Lawyers(s): Brian E. Bro
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Mark C. Watler, James A. Parker, Matthew Crump
Hearing Site: Houston, TX
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