| 14-01468 | 05/19/2015 | Claimant(s): Lynda Richardson
Claimant Lawyers(s): Amedeo Greco
Respondent(s): Morgan Stanley, Paul Shoemaker, Sandra Murri Johnson
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): James B. Eichberg, Paul E. Dahlman, J. Robert Brown
Hearing Site: Salt Lake City, UT
|  | $25,000 |
| 14-00337 | 03/20/2015 | Claimant(s): Shelley G. Fontaine Family Trust
Claimant Lawyers(s): Randall R. Heiner
Respondent(s): Ameriprise Financial Services., Steven Linck
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Virginia H. Wertz
Hearing Site: Salt Lake City, UT
| | Expungement |
| 13-03228 | 02/06/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Christopher Wilkinson
Respondent Lawyers(s): Brennan H. Moss
Arbitrator(s): Langdon T. Owen, Gene R. Thornton, A. O. Headman
Hearing Site: Salt Lake City, UT
| | |
| 14-01383 | 12/22/2014 | Claimant(s): Larry Hendricks
Claimant Lawyers(s): Jan Graham
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 14-00684 | 12/09/2014 | Claimant(s): G. Judd
Claimant Lawyers(s): Jan Graham
Respondent(s): William Loucks, Secu Brokerage Services
Respondent Lawyers(s): Michael L. Weisel, Wm. Kelly Nash
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 13-02316 | 08/27/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jared C. Fields
Respondent(s): Kyle Sutton
Respondent Lawyers(s): Kyle Arthur Sutton
Arbitrator(s): Philip H. Marmurowski
Hearing Site: Salt Lake City, UT
| | |
| 13-01377 | 10/31/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): William Taylor
Respondent Lawyers(s): William H. Taylor
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
| | |
| 11-04019 | 10/22/2013 | Claimant(s): Jason Duhon
Claimant Lawyers(s): William M. Fontenot
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric D. Raphan
Arbitrator(s): Robert O. Halbert, Thomas L. Dueber, Richard Djokic
Hearing Site: Salt Lake City, UT
| | |
| 11-04785 | 05/29/2013 | Claimant(s): Julie Haupt, Robert Haupt, Julie Haupt IRA, Julie Haupt Roth IRA, Robert Haupt IRA, Robert Haupt Roth IRA, Robert K. Haupt Family Revocable Trust
Claimant Lawyers(s): Ronald E. Miller, Thomas C. Bradley
Respondent(s): Dudley Probert, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Donald N. Tolin, Suanne M. Parro, David L. Erickson
Hearing Site: Salt Lake City, UT
| | Expungement |
| 12-01044 | 03/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Potter
Respondent Lawyers(s): Sanna-Rae Taylor
Arbitrator(s): Joan M. Traub, Richard J. Lawrence, James Wilmer Barlow
Hearing Site: Salt Lake City, UT
| | |
