| 22-02466 | 12/11/2023 | Claimant(s): Cordia Swanson
Claimant Lawyers(s): Cordia Swanson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Randy R. Maher, David L. Moran, Hugh James Anderson
Hearing Site: Las Vegas, NV
|  | Dismissed by Rule 12504(a)(6)(B) |
| 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 |
| 20-00861 | 04/08/2022 | Claimant(s): George Lyles
Claimant Lawyers(s): George W. Lyles
Respondent(s): Jacob Mohr, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Peter Pound, Thomas M. McHugh
Arbitrator(s): Robert Rosen, David L. Moran, Adam Michael Porter
Hearing Site: Las Vegas, NV
| | Expungement |
| 18-01515 | 08/08/2019 | Claimant(s): Jay Hu
Claimant Lawyers(s): Jay Z Hu
Respondent(s): Regal Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Erik R. Siering, Andrew M. Mintzer, David L. Moran
Hearing Site: Las Vegas, NV
| | $0 |
| 14-00930 | 12/11/2014 | Claimant(s): Mike Kratzke
Claimant Lawyers(s): Miriam G. Bahcall
Respondent(s): The Moapa Band of Paiutes
Respondent Lawyers(s): Ron Settje
Arbitrator(s): Barry A. Mainardi, Ralph B. Perry, David L. Moran
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-04190 | 12/03/2014 | Claimant(s): Elaine Kreda Revocable Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Kirtley M. Thiesmeyer, David L. Moran, Dale G. Higer
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-04141 | 07/25/2013 | Claimant(s): David Morris, Jane Morris
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney M. Rogers Reid
Arbitrator(s): Robert E. Jenks, David L. Moran, Thomas J. Tanksley
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12504 |
| 12-01974 | 05/07/2013 | Claimant(s): Ronald Damiani
Claimant Lawyers(s): Ronald Gene Damiani
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Michael Dean, David L. Moran, Robert Dean McKinley
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12206 |
| 10-00264 | 01/30/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Nathan Lorbietzki
Respondent Lawyers(s): Erik W. Fox
Arbitrator(s): Nancy Hutt, James W. Warren, David L. Moran
Hearing Site: Las Vegas, NV
| | |
| 08-04078 | 10/04/2010 | Claimant(s): John Miller
Claimant Lawyers(s): John Miller
Respondent(s): Pershing LLC, Vanguard Marketing Corporation
Respondent Lawyers(s): Garrett R. Wynne, James J. Dougherty
Arbitrator(s): Joseph L. Mangan, Robert J. Ruben, David L. Moran
Hearing Site: Reno, NV
| | $0 |
