| 09-06769 | 01/14/2013 | Claimant(s): Clearone Communications.
Claimant Lawyers(s): James E. Magleby
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Mary C. Davis, Donald Dreyfus, Brian Arnett Lebrecht
Hearing Site: Salt Lake City, UT
|  | $0 |
| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
| | Expungement |
| 11-03792 | 12/18/2012 | Claimant(s): Patricia Tanner
Claimant Lawyers(s): Timothy Tanner
Respondent(s): Albert Alvey, Brian Horne, Kevin Kunz, Investment Management Corporation
Respondent Lawyers(s): Albert Clark Alvey, Brian Young Horne, Kevin Dee Kunz, Kevin Kunz
Arbitrator(s): Richard Djokic
Hearing Site: Salt Lake City, UT
| | $73,185 |
| 12-00052 | 11/19/2012 | Claimant(s): Isabel Robinson
Claimant Lawyers(s): Jeffrey M. Salas
Respondent(s): Brian Horne, Shelley Stevens, Investment Management Corporation
Respondent Lawyers(s): Brian Young Horne, Kevin Kunz, Shelley Ann Stevens
Arbitrator(s): George J. Karlsven
Hearing Site: Salt Lake City, UT
| | $61,422 |
| 10-04789 | 05/04/2012 | Claimant(s): Mike Stidd, Sherry Stidd
Claimant Lawyers(s): Jan Graham
Respondent(s): Clint Wyckoff, Mark Sumsion, Mark Wyckoff, Phillip Borup, Scott Garbutt, Stonehurst Securities.
Respondent Lawyers(s): Evan A. Schmutz, Phillip Borup, Scott T. Evans
Arbitrator(s): George J. Karlsven, Federico C. Alvarez, Michael Scott Eldredge
Hearing Site: Salt Lake City, UT
| | Expungement |
| 11-00935 | 09/29/2011 | Claimant(s): Lois Moser, Royce Moser
Claimant Lawyers(s): Royce Moser
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Bruce Brown
Hearing Site: Salt Lake City, UT
| | $362 |
| 09-02961 | 09/27/2010 | Claimant(s): Grant Gifford, Healthright Partners
Claimant Lawyers(s): Mark W. Pugsley
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Richard J. Lawrence, Clifford N. Coury, Joseph J. Palmer
Hearing Site: Salt Lake City, UT
| | $4,424,460 |
| 09-06839 | 08/19/2010 | Claimant(s): Christopher Carter
Claimant Lawyers(s): Christopher Carter
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): John Fleming Kelly
Hearing Site: Salt Lake City, UT
| | $319 |
| 09-01431 | 07/23/2010 | Claimant(s): Gerald Edward McCoy
Claimant Lawyers(s): Jordan P. Kendell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Langdon T. Owen, Jonathan H. Larson, A. O. Headman
Hearing Site: Salt Lake City, UT
| | $96,524 |
| 09-02054 | 07/09/2010 | Claimant(s): Brett Eliason, E. Finch, Veronique Eliason, Daydream Trading, NBF Capital
Claimant Lawyers(s): Matthew R. Lewis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): A. O. Headman, Richard J. Lawrence, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | $6,924,500 |
