| 21-02625 | 05/30/2023 | Claimant(s): Jeanette Long
Claimant Lawyers(s): Michael Melito
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Charles G. Michaels, Rey Hernandez Julian, Kimberly Johnson
Hearing Site: Denver, CO
|  | Expungement |
| 22-02074 | 05/23/2023 | Claimant(s): Jason Hawke
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): LPL Financial LLC, J. P. Turner & Company LLC
Respondent Lawyers(s): David Feldstein, Kelsey Vasko
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Boise, ID
| | |
| 22-02339 | 05/19/2023 | Claimant(s): Earl Marquardt
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 21-02116 | 05/03/2023 | Claimant(s): Matthew W. Nickerson, on behalf of IRA
Claimant Lawyers(s): Kirk G Smith
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
| | Expungement |
| 22-02036 | 04/11/2023 | Claimant(s): Brian Stokes
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 22-02163 | 04/10/2023 | Claimant(s): Bradley Towers
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 22-01549 | 04/07/2023 | Claimant(s): Kelly Campbell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi, Rochelle Mayfield
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
| | |
| 22-01843 | 03/01/2023 | Claimant(s): Todd Slingerland
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard, Rochelle Mayfield
Arbitrator(s): Steven R. Rolnick
Hearing Site: Albany, NY
| | |
| 22-00025 | 02/24/2023 | Claimant(s): Kevin Carroll
Claimant Lawyers(s): Kevin Joseph Carroll
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): John J. Mager, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
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