| 18-01556 | 01/14/2019 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | |
| 18-01109 | 01/09/2019 | Claimant(s): Michael Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Salt Lake City, UT
| | |
| 18-01112 | 12/31/2018 | Claimant(s): Stephen Swensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Merton E. Marks
Hearing Site: Salt Lake City, UT
| | |
| 18-00481 | 10/02/2018 | Claimant(s): Mark Lazar
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Salt Lake City, UT
| | |
| 17-00051 | 06/25/2018 | Claimant(s): David Coletti, Gail Charles, CDG (Ohio) LLC
Claimant Lawyers(s): Ross D Carmel
Respondent(s): Bruce Greenwald, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): George J. Karlsven, Daniel M. Yamshon, Marc Kalish
Hearing Site: Salt Lake City, UT
|  | Expungement |
| 17-01811 | 05/30/2018 | Claimant(s): Gregory Golding
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | |
| 17-02985 | 05/30/2018 | Claimant(s): Aaron Graham
Claimant Lawyers(s): Owen Harnett
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mary Margaret Bush
Hearing Site: Salt Lake City, UT
| | |
| 17-03131 | 05/11/2018 | Claimant(s): Barry Sorensen, Charles Cook, Lared Hansen and Andria B. Hansen, Val H. Bingham and Erin M. Bingham
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Heath Bowen
Respondent Lawyers(s): Tamara A. Seelman
Arbitrator(s): Elwood C. Avery, George J. Karlsven, Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | $0 |
| 17-01151 | 04/10/2018 | Claimant(s): Thomas Hall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | |
| 17-02490 | 03/23/2018 | Claimant(s): Aaron Graham
Claimant Lawyers(s): Owen Harnett
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): Douglas C. Hall
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Salt Lake City, UT
| | |
