| 12-03878 | 07/28/2014 | Claimant(s): June Duffy, Leroy Duffy, Susan Creasey, William Creasey
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): LPL Financial LLC, Gerald Seibert
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Julius Z. Frager, Albert J. Haller, Stuart W. Smith
Hearing Site: St. Louis, MO
|  | Expungement |
| 12-03720 | 08/16/2013 | Claimant(s): Annie Knight, David Knight
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Paul R. Meyer, William H. King, John Robert Oreskovich
Hearing Site: Portland, OR
| | Expungement |
| 12-03541 | 04/09/2013 | Claimant(s): Lisa Davis
Claimant Lawyers(s): Jennifer G. Lloyd
Respondent(s): LPL Financial LLC, Michael Curran
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Leonard E. Benade
Hearing Site: Columbia, SC
| | $213 |
| 10-04359 | 06/13/2012 | Claimant(s): High Ridge Fire Protection District
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): LPL Financial LLC, Richard Glenn
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Alan A. Sachs
Hearing Site: St. Louis, MO
| | Expungement |
| 11-02607 | 03/08/2012 | Claimant(s): Roth IRA fbo Judy L. O'Briien, SEP IRA fbo Thomas O'Brien
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Harry J Saginaw
Hearing Site: Oklahoma City, OK
| | $5,575 |
| 09-07168 | 07/20/2010 | Claimant(s): Cecelia Cook
Claimant Lawyers(s): Cecelia Wilson Cook
Respondent(s): LPL Financial LLC, Randall Dyches
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Donald G. Kennedy
Hearing Site: Columbia, SC
| | $213 |
