| 18-03907 | 09/11/2019 | Claimant(s): Gavin Kerby
Claimant Lawyers(s): Gavin Kerby
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thaddeus J. Tecza, Ronald G. Guida, Mary Margaret Bush
Hearing Site: Salt Lake City, UT
|  | Dismissed |
| 18-02485 | 07/11/2019 | Claimant(s): Donald Rensch
Claimant Lawyers(s): David Neuman
Respondent(s): Travis Hudak
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Donald N. Tolin, Richard Marc Weinroth, Barbara M. Anscher
Hearing Site: Salt Lake City, UT
| | $0 |
| 19-00213 | 06/13/2019 | Claimant(s): David James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Marc Kalish
Hearing Site: Salt Lake City, UT
| | |
| 18-02790 | 05/10/2019 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Chase A. Adams
Arbitrator(s): Merton E. Marks
Hearing Site: Salt Lake City, UT
| | |
| 18-02774 | 04/22/2019 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Salt Lake City, UT
| | |
| 15-00734 | 04/18/2019 | Claimant(s): Gerald M. Butler, Jr. Family Trust, Jr. Marital Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation, National Asset Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly
Hearing Site: Salt Lake City, UT
| | $1,145,240 |
| 18-01772 | 02/12/2019 | Claimant(s): James Phillips
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Denise Hammond
Arbitrator(s): Paul H. Lamboley
Hearing Site: Salt Lake City, UT
| | |
| 18-02337 | 02/11/2019 | Claimant(s): James Phillips
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard D. Fincher
Hearing Site: Salt Lake City, UT
| | |
| 18-02451 | 02/05/2019 | Claimant(s): Richard Potashner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Herbert Liberman
Hearing Site: Salt Lake City, UT
| | |
| 18-00243 | 01/25/2019 | Claimant(s): Catherine Talman, Roger Talman, 1990 Talman Family Living Trust
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): Wells Fargo Clearing Services, Timothy Cusick
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Thaddeus J. Tecza, Mary C. Davis, Val D. Hornstein
Hearing Site: Salt Lake City, UT
| | Expungement |
