| 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 |
| 23-00307 | 07/01/2024 | Claimant(s): Janet Romanski
Claimant Lawyers(s): Matt Lewis
Respondent(s): Edward Jones, Lloyd Wright
Respondent Lawyers(s): Maria Windham
Arbitrator(s): Barry H. Barnett, Michael J Norton, Morgan Hislop Lemaitre
Hearing Site: Salt Lake City, UT
| | Expungement |
| 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 |
| 20-04189 | 12/22/2022 | Claimant(s): Tika Ventures LLC
Claimant Lawyers(s): Michael Hill
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Marc Kalish, Kathy L. Eisenmenger, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | $0 |
| 20-01323 | 11/09/2021 | Claimant(s): Carl Amon
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Jeffrey M. Allen, Jon Richard Catten, Leon Werner Crockett
Hearing Site: Salt Lake City, UT
| | $0 |
| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 20-04226 | 04/26/2021 | Claimant(s): Thomas Jerome-Surendran
Claimant Lawyers(s): Thomas Jerome-Surendran
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Salt Lake City, UT
| | $0 |
| 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 |
| 18-02940 | 10/22/2020 | Claimant(s): James Dullanty
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Marc Kalish, Rick L. Knuth, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206/12504 |
| 18-03907 | 09/11/2019 | Claimant(s): Gavin Kerby
Claimant Lawyers(s): Gavin Kerby
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thaddeus J. Tecza, Ronald G. Guida, Mary Margaret Bush
Hearing Site: Salt Lake City, UT
| | Dismissed |
