| 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 |
| 20-01960 | 05/25/2022 | Claimant(s): The David and Heather Weir Family Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles A. DeVore
Arbitrator(s): Helen Marinak Blohm, Paul H. Lamboley, Harvey W Gordon
Hearing Site: Albuquerque, NM
| | $1,447,090 |
| 19-02604 | 01/29/2021 | Claimant(s): Jeffrey Mogensen, Rhonda Mogensen
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Paul H. Lamboley
Hearing Site: Salt Lake City, UT
| | Expungement |
| 16-00745 | 08/05/2019 | Claimant(s): Devandra Patel, Meenakshi Patel, DMPPP
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Niyukt Raghu Bhasin
Arbitrator(s): Paul H. Lamboley, Michael C. Anigbogu, Michael D. Briggs
Hearing Site: Reno, NV
| | $0 |
| 16-03605 | 08/24/2018 | Claimant(s): Kathy Wookey, Thomas Wookey
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): John Lowry, Robert Murray, Spartan Capital Securities, Llc
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Paul H. Lamboley, Danielle L. Anderson, Dee Maresso-Newell
Hearing Site: Rapid City, SD
| | $330,425 |
| 16-02577 | 03/15/2018 | Claimant(s): Joan Provost, John Provost, JJP Associates Profit Sharing Plan, Joan T. Provost Revocable Trust
Claimant Lawyers(s): Eric G. Benson
Respondent(s): Mitchell Simkins, Richard Miller, Mid-Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Paul H. Lamboley, Edward Allan Hindman
Hearing Site: Salt Lake City, UT
| | Expungement |
| 14-01437 | 08/18/2015 | Claimant(s): IRA FBO Robert Elizondo
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jon Sanchez
Respondent Lawyers(s): Steven F. Bus
Arbitrator(s): Paul H. Lamboley
Hearing Site: Reno, NV
| | $78,725 |
| 12-00809 | 05/28/2013 | Claimant(s): Fae Silver
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Paul H. Lamboley, Merrill Dean Taylor, John G. Manley
Hearing Site: Las Vegas, NV
| | Expungement |
| 11-04471 | 05/14/2012 | Claimant(s): Richard Sudborough
Claimant Lawyers(s): Richard Sudborough
Respondent(s): Trade Monster
Respondent Lawyers(s): Michael Albino
Arbitrator(s): Paul H. Lamboley
Hearing Site: Las Vegas, NV
| | $25 |
| 10-00555 | 07/12/2011 | Claimant(s): Evelyn Dias, Melvin Dias
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Pershing LLC
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Paul H. Lamboley, Cheryl R. Kershner, David M. Seidner
Hearing Site: Reno, NV
| | $120,250 |
