| 18-01028 | 08/21/2018 | Claimant(s): Tyler Smith
Claimant Lawyers(s): Robert L. Hartley
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 18-00098 | 07/20/2018 | Claimant(s): George Meyer
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: St. Louis, MO
| | |
| 17-01003 | 03/30/2018 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara Kramer, Jon Kaplon
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
| | |
| 17-01307 | 12/22/2017 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara H. Kramer, Jon Kaplon
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
| 17-00926 | 12/22/2017 | Claimant(s): Jana Forster
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): LPL Financial LLC, Kodi Hermann
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): William M. Getzoff
Hearing Site: Indianapolis, IN
|  | $10,889 |
| 14-03425 | 06/17/2016 | Claimant(s): Ramona Hahn, Ramona Hahn IRA, Ramona Hahn Roth IRA, Ramona Hahn Family Trust DTD 08/04/2003
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): LPL Financial LLC, John Sherwin, Thomas Hokr, Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bentley P. Stansbury, Jon Kaplon, Michael A. Nagy
Arbitrator(s): Guenter S. Cohn, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | Expungement |
| 15-02574 | 06/09/2016 | Claimant(s): Michael Caprario
Claimant Lawyers(s): Michael Caprario
Respondent(s): Dain StokesL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | Expungement |
