| 23-02886 | 06/12/2024 | Claimant(s): Amber Stream
Claimant Lawyers(s): Robert Moses
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Richard J. Lawrence
Hearing Site: Seattle, WA
| | |
| 22-02695 | 06/09/2023 | Claimant(s): Samuel Clark
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Royal Alliance Associates., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Dustin J. Tirpak, Jennifer R. Cox
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | |
| 22-02308 | 03/29/2023 | Claimant(s): James Davenport
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Dustin J. Tirpak
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | |
| 18-03495 | 02/15/2022 | Claimant(s): Diane Sagrillo, Robert Sagrillo
Claimant Lawyers(s): Jason J. Kane
Respondent(s): David Turner, John Vansant, Cascade Financial Management.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter
Hearing Site: Denver, CO
|  | Expungement |
| 16-01765 | 12/28/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Gregory Giuffra
Respondent Lawyers(s): Julie M. Walker
Arbitrator(s): Richard J. Lawrence, Victoria Anne Long, Tina Alison Davis
Hearing Site: Denver, CO
| | |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 15-00474 | 12/21/2015 | Claimant(s): Robert Rohan, Robert C. Rohan Family Partnership, LLLP
Claimant Lawyers(s): Robert C Rohan
Respondent(s): Vontobel Securities LTD
Respondent Lawyers(s): Gregory F. Hauser
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | $0 |
| 14-00684 | 12/09/2014 | Claimant(s): G. Judd
Claimant Lawyers(s): Jan Graham
Respondent(s): William Loucks, Secu Brokerage Services
Respondent Lawyers(s): Michael L. Weisel, Wm. Kelly Nash
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 12-01044 | 03/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Potter
Respondent Lawyers(s): Sanna-Rae Taylor
Arbitrator(s): Joan M. Traub, Richard J. Lawrence, James Wilmer Barlow
Hearing Site: Salt Lake City, UT
| | |
| 10-02745 | 09/22/2011 | Claimant(s): Ingrid Scolet, Joe Scolet, Services on the Move
Claimant Lawyers(s): Christopher P. Porter
Respondent(s): Edward Jones
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Richard J. Lawrence, Harry L. Striplin, Nina Vallion
Hearing Site: Boise, ID
| | Expungement |
