| 12-02901 | 01/10/2014 | Claimant(s): Louisa Alben IRA, Louisa Alben Living Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Jack D. Elmquist, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
|  | Expungement |
| 12-03531 | 07/10/2013 | Claimant(s): Charles Hadley, Charles J. Hadley II IRA, Charles J. Hadley & Linda J. Hadley Ten
Claimant Lawyers(s): Jeffrey M. Salas
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Clayton J. Borne, Michael S. Wilk, Francis Frank Fontenot
Hearing Site: New Orleans, LA
| | Expungement |
| 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 |
| 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 |
| 10-04934 | 02/08/2012 | Claimant(s): Virginia Oakes
Claimant Lawyers(s): George K. Rosenstock
Respondent(s): Bernard Jongewaard, Mark JongewaardL fka Linsco/Private Ledger Corp., Associated Securities Corp.
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Roberta Haft, Neil S. Jasper, Joy Diane Williams
Hearing Site: Los Angeles, CA
| | Expungement |
