| 21-01427 | 10/13/2022 | Claimant(s): Nancy Flaherty
Claimant Lawyers(s): Ryan Gustafson
Respondent(s): LPL Financial LLC, Shawn Hochuli
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Victoria E Johnson, Constance Ellen Boukidis, Barry D. Kaye
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-03662 | 12/07/2021 | Claimant(s): Lowell Hart
Claimant Lawyers(s): John A. Mangones
Respondent(s): State Farm VP Management Corp.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Thomas C. Tretter, William Norton, Peter Andrew Marx
Hearing Site: Manchester, NH
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| 20-03939 | 11/29/2021 | Claimant(s): Ralph Basile
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): George Madrigal, Penserra Securities
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Peter Bennett, Stephen L. Lister, Howard Alan Grinsberg
Hearing Site: Jersey City, NJ
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| 20-00478 | 11/02/2021 | Claimant(s): Christine Kearney
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): LPL Financial LLC, Gregory Kearney
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson
Hearing Site: Syracuse, NY
| | $0 |
| 20-02772 | 10/01/2021 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
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| 20-03361 | 08/13/2021 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John Francis Markuns
Hearing Site: Syracuse, NY
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| 19-03719 | 03/03/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): Mark Boccuzzi
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): David S. Billet, Charles L. Henderson, Joseph I. Liebman
Hearing Site: New York, NY
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| 20-00581 | 05/29/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): Nelson Polun
Respondent Lawyers(s): Nelson M. Polun
Arbitrator(s): Elliot B. Platt
Hearing Site: Baltimore, MD
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| 19-00697 | 02/12/2020 | Claimant(s): Charles Goldberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
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| 16-01360 | 08/17/2017 | Claimant(s): Rebecca Gillette
Claimant Lawyers(s): Michael S. Smith
Respondent(s): Dominick Ferranto, Jason Lashbrook, Edward Jones
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Anthony D. McCaffrey, Kevin R. Zehe, Ira A. Auerbach
Hearing Site: Buffalo, NY
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