| 17-02400 | 06/29/2018 | Claimant(s): Michael Allard
Claimant Lawyers(s): Armin Sarabi
Respondent(s): LPL Financial LLC, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Scott R. Forbush
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 13-02801 | 11/18/2014 | Claimant(s): Carolyn Erskine
Claimant Lawyers(s): Christopher C. Cooke
Respondent(s): LPL Financial LLC, Michael Allard, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Louie H. Castoria, Michael T. Regan
Arbitrator(s): William Ziering, Thomas J. LoSavio, Kevin C. Coleman
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206 |
| 12-00949 | 02/20/2013 | Claimant(s): Anthonio Ricatti, Dana Ganci, Gloria Helman, John Ganci, Michael Allard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter King
Arbitrator(s): Linda M. Granata, Michael A. Levin, Glenn Franklin Fuller
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12206 |
