Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-04224 | 12/09/2021 | Claimant(s): Daniel Larsen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT | ||
| 20-01879 | 11/08/2021 | Claimant(s): Karla Kretsch, The Donald & Karla Kretsch Family Trust Claimant Lawyers(s): Jon A. Titus Respondent(s): Guy Newman Respondent Lawyers(s): Guy James Newman Arbitrator(s): Howard R. Gaines, Steven M. Guttell, Carrie Lynette Thompson Jones Hearing Site: Phoenix, AZ |  | $67,572 |
| 20-02782 | 07/20/2021 | Claimant(s): Jeffrey Segelke Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Hornor, Townsend & Kent Respondent Lawyers(s): George D. Fagan Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT | ||
| 20-02849 | 06/23/2021 | Claimant(s): Jacob Gold Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Christina Vourakis Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-02006 | 03/26/2021 | Claimant(s): James Underhill Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Matthew Tracy Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-02491 | 02/11/2021 | Claimant(s): Stephen Ledyard Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-02062 | 01/13/2021 | Claimant(s): Francisco Almada Claimant Lawyers(s): Christopher Warren Respondent(s): Union Capital Company Respondent Lawyers(s): Joseph Bodkin Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-00649 | 11/10/2020 | Claimant(s): Robert Shelton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Independent Financial Group. Respondent Lawyers(s): Sarah J. Kreisman Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT | ||
| 19-01872 | 10/18/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): Trent M. Latta Respondent(s): John Baron Respondent Lawyers(s): John Antonio Baron Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT | ||
| 19-00460 | 08/15/2019 | Claimant(s): Hennessee Family Trust Claimant Lawyers(s): Paul C. Cox Respondent(s): Wells Fargo Clearing Services, William Paynter Respondent Lawyers(s): Jeffrey Rodgers Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | | Expungement |