Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02212 | 03/04/2024 | Claimant(s): John McCune Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): Susan E. Maloney Hearing Site: Manchester, NH | ||
| 23-02440 | 02/07/2024 | Claimant(s): Herbert Shiraishi Claimant Lawyers(s): Harris Freedman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): Minnie Loo Hearing Site: Honolulu, HI | ||
| 23-01180 | 01/29/2024 | Claimant(s): Devin Garofalo Claimant Lawyers(s): Devin J. Garofalo Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): Richard James Igou Hearing Site: Richmond, VA | ||
| 23-00509 | 10/13/2023 | Claimant(s): Jane Scarbrough Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA | ||
| 23-00267 | 09/05/2023 | Claimant(s): Marcia Litrenta Claimant Lawyers(s): William B. Young Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): Raymond P. Buschmann Hearing Site: Chicago, IL |  | Expungement |
| 23-00296 | 07/24/2023 | Claimant(s): Glenn Siegel, Joy Siegel Claimant Lawyers(s): Christopher L. Lufrano Respondent(s): Lucia Securities Respondent Lawyers(s): Mike West Arbitrator(s): Robert G. Geeseman Hearing Site: Boca Raton, FL | | Expungement |
| 22-02257 | 06/06/2023 | Claimant(s): Gale Brodie Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Waddell & Reed, MSI Financial Services. Respondent Lawyers(s): Ariel N. Brotman, Mike West Arbitrator(s): Gary A. Hooker, Philip Aaron Tymon, Bruce J Highman Hearing Site: San Francisco, CA | ||
| 20-02988 | 03/11/2021 | Claimant(s): Troy Tremblay Claimant Lawyers(s): Bentley P. Stansbury Respondent(s): Centaurus Financial. Respondent Lawyers(s): Mike West Arbitrator(s): Edith N. Dinneen Hearing Site: Los Angeles, CA | ||
| 20-02990 | 03/05/2021 | Claimant(s): Troy Tremblay Claimant Lawyers(s): Bentley P. Stansbury Respondent(s): Centaurus Financial. Respondent Lawyers(s): Mike West Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA | ||
| 19-02630 | 08/24/2020 | Claimant(s): Triana Waldron Claimant Lawyers(s): Phillip E. Thompson Respondent(s): Jonathan Dudley, Centaurus Financial. Respondent Lawyers(s): Jonathan H Dudley, Mike West Arbitrator(s): John F. Allgood, David Blair Sinyard, Sherri Lynne Kimmell Hearing Site: Atlanta, GA | | Dismissed |