| 24-00737 | 10/08/2024 | Claimant(s): Joseph Darpel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Joseph J. Dougherty, Paul E. Dahlman, Michele S. Riley
Hearing Site: St. Louis, MO
| | |
| 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 |
| 22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux
Hearing Site: Denver, CO
| | $0 |
| 21-02646 | 11/22/2022 | Claimant(s): Carol Monte
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Jonathan H. Krotinger, Paul E. Dahlman, Jon Richard Catten
Hearing Site: Boise, ID
| | Expungement |
| 21-01701 | 06/27/2022 | Claimant(s): Chiaki Kumazawa
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert M Stein, Daniel M. Yamshon, Paul E. Dahlman
Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
| 21-01144 | 02/10/2022 | Claimant(s): Carol Keene
Claimant Lawyers(s): Carol Keene
Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii
Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin
Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Albuquerque, NM
| | Expungement |
| 21-01374 | 02/08/2022 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): J. Lucas McFarland
Respondent(s): Michael Barth
Respondent Lawyers(s): Michael David Barth
Arbitrator(s): Paul E. Dahlman
Hearing Site: Albuquerque, NM
| | |
| 20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust
Claimant Lawyers(s): D. Daxton White
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Oklahoma City, OK
| | Expungement |
| 19-03340 | 11/04/2021 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Ameriprise Financial Services, Michael Peterson
Respondent Lawyers(s): Danya W. Blair, James E. Heavey
Arbitrator(s): James A. Sigler, Paul E. Dahlman, Richard Mathew Greenspan
Hearing Site: Las Vegas, NV
| | |
| 21-00569 | 07/28/2021 | Claimant(s): John K and Mary L Campbell Family Trust
Claimant Lawyers(s): John K. Campbell
Respondent(s): Michael Masterson
Respondent Lawyers(s): Geoff S. Beckham
Arbitrator(s): Paul E. Dahlman
Hearing Site: Las Vegas, NV
| | $0 |
