| 10-00702 | 09/30/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Forbes
Respondent Lawyers(s): Brent V. Manning
Arbitrator(s): Robert S. McConnell, Dennis Dowd, George H. Speciale
Hearing Site: Salt Lake City, UT
| | |
| 09-02961 | 09/27/2010 | Claimant(s): Grant Gifford, Healthright Partners
Claimant Lawyers(s): Mark W. Pugsley
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Richard J. Lawrence, Clifford N. Coury, Joseph J. Palmer
Hearing Site: Salt Lake City, UT
|  | $4,424,460 |
| 09-06839 | 08/19/2010 | Claimant(s): Christopher Carter
Claimant Lawyers(s): Christopher Carter
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): John Fleming Kelly
Hearing Site: Salt Lake City, UT
| | $319 |
| 09-00110 | 08/11/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Vanamen
Respondent Lawyers(s): Martin Johanne Vanamen
Arbitrator(s): Thomas D. Tays, David M. Seidner, Suzanne M. Dallimore, P.C.
Hearing Site: Salt Lake City, UT
| | |
| 09-01431 | 07/23/2010 | Claimant(s): Gerald Edward McCoy
Claimant Lawyers(s): Jordan P. Kendell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Langdon T. Owen, Jonathan H. Larson, A. O. Headman
Hearing Site: Salt Lake City, UT
| | $96,524 |
| 09-02054 | 07/09/2010 | Claimant(s): Brett Eliason, E. Finch, Veronique Eliason, Daydream Trading, NBF Capital
Claimant Lawyers(s): Matthew R. Lewis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): A. O. Headman, Richard J. Lawrence, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | $6,924,500 |
| 09-00993 | 04/22/2010 | Claimant(s): The Alan B. White Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): ITradeDirect.com Corporation
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): James B. Vessey, George J. Karlsven, Russell K. Cannon
Hearing Site: Salt Lake City, UT
| | $529,470 |
| 08-01232 | 04/07/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Hicks III
Respondent Lawyers(s): Thomas G. Hicks
Arbitrator(s): Victor B. Taube, Barry A. Mainardi, Vincy S. Stringham
Hearing Site: Salt Lake City, UT
| | |
| 09-00494 | 03/09/2010 | Claimant(s): Richard Shipman
Claimant Lawyers(s): Mark W. Pugsley
Respondent(s): Equitrust Marketing Services, Farm Bureau Life Insurance Company, Farm Bureau Mutual Insurance Company, Western Agricultural Insurance Company
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Langdon T. Owen, Michael Dean, John G. Manley
Hearing Site: Salt Lake City, UT
| | |
| 08-04292 | 02/12/2010 | Claimant(s): Tyler Smith
Claimant Lawyers(s): Bradley Wm. Bowen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julia C. Webb
Arbitrator(s): Jesse Stuart Shackelford, Joel T. Marker, John G. Manley
Hearing Site: Salt Lake City, UT
| | |
