| 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
| | |
| 20-01323 | 11/09/2021 | Claimant(s): Carl Amon
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Jeffrey M. Allen, Jon Richard Catten, Leon Werner Crockett
Hearing Site: Salt Lake City, UT
|  | $0 |
| 21-00237 | 11/05/2021 | Claimant(s): ACAP Financial Inc.
Claimant Lawyers(s): David S. Hunt
Respondent(s): Kirk Ferguson, Alpine Securities Corporation
Respondent Lawyers(s): David S. Hunt, Maranda E. Fritz
Arbitrator(s): Richard M. Reider, Knute Arthur Rife, Kevin Edward Anthony
Hearing Site: Salt Lake City, UT
| | |
| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 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
| | |
| 20-02901 | 07/20/2021 | Claimant(s): Scott Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Terry M Lloyd
Hearing Site: Salt Lake City, UT
| | |
| 20-02907 | 06/22/2021 | Claimant(s): John Mickelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Donald N. Tolin
Hearing Site: Salt Lake City, UT
| | |
| 20-04226 | 04/26/2021 | Claimant(s): Thomas Jerome-Surendran
Claimant Lawyers(s): Thomas Jerome-Surendran
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Salt Lake City, UT
| | $0 |
| 20-02136 | 02/03/2021 | Claimant(s): Brian Kasteler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Suanne M. Parro
Hearing Site: Salt Lake City, UT
| | |
| 20-02212 | 02/02/2021 | Claimant(s): Jacob Goddard
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jeffrey M. Allen
Hearing Site: Salt Lake City, UT
| | |
