| 21-02742 | 09/15/2023 | Claimant(s): Klenell Jensen
Claimant Lawyers(s): Brian Edwin Lahti
Respondent(s): Daniel Mann, Kyle Kirwan, Cornerstone Wealth Management
Respondent Lawyers(s): R. Bradley Ziegler
Arbitrator(s): Paul H. Lamboley, David L. Moran, Tina Alison Davis
Hearing Site: Salt Lake City, UT
|  | Expungement |
| 20-02909 | 07/17/2023 | Claimant(s): Leslie Nelson
Claimant Lawyers(s): Paul L. Vorndran
Respondent(s): Stifel, Nicolaus & Co.., Randall Minas
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Carla B. Minckley, Carol L. Roslund, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 18-03962 | 12/24/2019 | Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
| | Dismissed by Rule 12206/12504 |
| 19-00691 | 12/04/2019 | Claimant(s): Bonnie Hatten, Karen Robinson, Richard Bloom, Richard Hatten, Bloom Energy., BB Cove
Claimant Lawyers(s): Michael A. Rollin
Respondent(s): Gregory Williams, Presidential Brokerage.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Tina Alison Davis, Brian Luther, Nicholas Jay Dale
Hearing Site: Denver, CO
| | $45,818 |
| 17-01857 | 09/05/2018 | Claimant(s): IRA of Jonathan M. Seltzer, IRA of Susan O. Seltzer, SEP IRA of Jonathan M. Seltzer, Rev Trust of Jonathan M. Seltzer, Rev Trust of Susan O. Seltzer
Claimant Lawyers(s): Jonathan and Susan Seltzer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen Bright
Arbitrator(s): Ilene T. Gormly, Tina Alison Davis, Rick Gale Doty
Hearing Site: Denver, CO
| | $0 |
| 17-00336 | 07/19/2018 | Claimant(s): Thomas Wolf
Claimant Lawyers(s): Glenn W. Merrick
Respondent(s): Omega Wireless
Respondent Lawyers(s): Timothy R. Beyer
Arbitrator(s): William F. Skewes, Patricia M. Bottoms, Tina Alison Davis
Hearing Site: Denver, CO
| | $0 |
