23-03384 | 09/03/2024 | Claimant(s): Kenneth Grover Claimant Lawyers(s): Daniel D'Costa Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Wells Fargo Securities Respondent Lawyers(s): Sara Soto Arbitrator(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan Hearing Site: Salt Lake City, UT
| | $0 |
22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino Claimant Lawyers(s): Samuel B. Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux Hearing Site: Denver, CO
| | $0 |
21-02646 | 11/22/2022 | Claimant(s): Carol Monte Claimant Lawyers(s): Kalju Nekvasil Respondent(s): First Allied Securities. Respondent Lawyers(s): Elizabeth Lowery Arbitrator(s): Jonathan H. Krotinger, Paul E. Dahlman, Jon Richard Catten Hearing Site: Boise, ID
| | Expungement |
21-01701 | 06/27/2022 | Claimant(s): Chiaki Kumazawa Claimant Lawyers(s): Samuel Edwards Respondent(s): Bancwest Investment Services. Respondent Lawyers(s): Neal S. Robb Arbitrator(s): Robert M Stein, Daniel M. Yamshon, Paul E. Dahlman Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
21-01144 | 02/10/2022 | Claimant(s): Carol Keene Claimant Lawyers(s): Carol Keene Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs Hearing Site: Albuquerque, NM
| | Expungement |
20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust Claimant Lawyers(s): D. Daxton White Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs Hearing Site: Oklahoma City, OK
| | Expungement |
21-00569 | 07/28/2021 | Claimant(s): John K and Mary L Campbell Family Trust Claimant Lawyers(s): John K. Campbell Respondent(s): Michael Masterson Respondent Lawyers(s): Geoff S. Beckham Arbitrator(s): Paul E. Dahlman Hearing Site: Las Vegas, NV
| | $0 |
18-03891 | 08/19/2019 | Claimant(s): Ann De Jong, Wildchild Spendthrift DTD 7/29/16 Trust Claimant Lawyers(s): Benjamin Edwards Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Paul E. Dahlman Hearing Site: Las Vegas, NV
| | $41,451 |
18-02355 | 01/03/2019 | Claimant(s): Adele Harper, Amanda Harper, Chris Hansen, Christina Hansen, Ed Harper, Gary Hansen, Genene Hansen, Philip Harper, Ray Hadley, Rick Tokita, Robert Hadley, Terry Hansen, Trevor Shuman Claimant Lawyers(s): Robert L. Gonser Respondent(s): Heath Bowen Respondent Lawyers(s): Tamara A. Seelman Arbitrator(s): Elwood C. Avery, Paul E. Dahlman, James E. Bartels Hearing Site: Boise, ID
| | $385,000 |
17-03222 | 11/28/2018 | Claimant(s): Cheryl Neace Claimant Lawyers(s): Eben T Masingill Respondent(s): Timothy Hetrick, U.S. Brokerage. Respondent Lawyers(s): Gregory Randall, William A. Morrow Arbitrator(s): Paul E. Dahlman Hearing Site: Boise, ID
| | $42,500 |