Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-02604 | 01/29/2021 | Claimant(s): Jeffrey Mogensen, Rhonda Mogensen Claimant Lawyers(s): Stephan Louviere Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Paul H. Lamboley Hearing Site: Salt Lake City, UT |  | Expungement |
| 20-01729 | 01/19/2021 | Claimant(s): Joseph Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Annette K. Ebright Arbitrator(s): Donald N. Tolin Hearing Site: Salt Lake City, UT | ||
| 20-00649 | 11/10/2020 | Claimant(s): Robert Shelton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Independent Financial Group. Respondent Lawyers(s): Sarah J. Kreisman Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT | ||
| 20-01105 | 11/09/2020 | Claimant(s): Steven Adams Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Merton E. Marks Hearing Site: Salt Lake City, UT | ||
| 20-01109 | 11/04/2020 | Claimant(s): Steven Adams Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Donald Dreyfus Hearing Site: Salt Lake City, UT | ||
| 20-01781 | 11/03/2020 | Claimant(s): Alexander Corriere Claimant Lawyers(s): Alexander Joseph Corriere Respondent(s): Supreme Alliance LLC Respondent Lawyers(s): Henry C. Smith II Arbitrator(s): Ronald L. Lantz Hearing Site: Salt Lake City, UT | ||
| 18-02940 | 10/22/2020 | Claimant(s): James Dullanty Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jacqueline R. Meyers Arbitrator(s): Marc Kalish, Rick L. Knuth, Donald Dreyfus Hearing Site: Salt Lake City, UT | | Dismissed by Rule 12206/12504 |
| 20-00045 | 08/11/2020 | Claimant(s): Timothy Pearson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Parkland Securities Respondent Lawyers(s): Randolph F. Pistor Arbitrator(s): Terry M Lloyd Hearing Site: Salt Lake City, UT | ||
| 19-03368 | 06/17/2020 | Claimant(s): Craig Nelson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): James Noblett Arbitrator(s): Mary Margaret Bush Hearing Site: Salt Lake City, UT | ||
| 19-01872 | 10/18/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): Trent M. Latta Respondent(s): John Baron Respondent Lawyers(s): John Antonio Baron Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT |