| 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 |
| 23-01596 | 07/19/2024 | Claimant(s): Nathan Torgerson
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Renee Bryna Gerstman
Hearing Site: Salt Lake City, UT
| | |
| 23-00307 | 07/01/2024 | Claimant(s): Janet Romanski
Claimant Lawyers(s): Matt Lewis
Respondent(s): Edward Jones, Lloyd Wright
Respondent Lawyers(s): Maria Windham
Arbitrator(s): Barry H. Barnett, Michael J Norton, Morgan Hislop Lemaitre
Hearing Site: Salt Lake City, UT
| | Expungement |
| 23-03294 | 05/06/2024 | Claimant(s): Kenny Johnson
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Terry M Lloyd, Gary G. Sackett, James Wilmer Barlow
Hearing Site: Salt Lake City, UT
| | |
| 23-01442 | 02/16/2024 | Claimant(s): Nathaniel Crowther
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Beth Grover Wiederholt
Arbitrator(s): Charles G. Michaels
Hearing Site: Salt Lake City, UT
| | |
| 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 |
| 22-01980 | 06/26/2023 | Claimant(s): Christopher Dame
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Steven Meyrich
Hearing Site: Salt Lake City, UT
| | |
| 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
| | |
| 20-04189 | 12/22/2022 | Claimant(s): Tika Ventures LLC
Claimant Lawyers(s): Michael Hill
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Marc Kalish, Kathy L. Eisenmenger, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | $0 |
