| 09-06769 | 01/14/2013 | Claimant(s): Clearone Communications.
Claimant Lawyers(s): James E. Magleby
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Mary C. Davis, Donald Dreyfus, Brian Arnett Lebrecht
Hearing Site: Salt Lake City, UT
|  | $0 |
| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
| | Expungement |
| 11-03792 | 12/18/2012 | Claimant(s): Patricia Tanner
Claimant Lawyers(s): Timothy Tanner
Respondent(s): Albert Alvey, Brian Horne, Kevin Kunz, Investment Management Corporation
Respondent Lawyers(s): Albert Clark Alvey, Brian Young Horne, Kevin Dee Kunz, Kevin Kunz
Arbitrator(s): Richard Djokic
Hearing Site: Salt Lake City, UT
| | $73,185 |
| 11-01138 | 12/12/2012 | Claimant(s): William Mulvey
Claimant Lawyers(s): William James Mulvey
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Helen E. Tuttle
Arbitrator(s): William F. Skewes, Martha Jeanne Wilcoxson, Richard Djokic
Hearing Site: Salt Lake City, UT
| | |
| 12-00589 | 11/28/2012 | Claimant(s): Steven Hirschfeld
Claimant Lawyers(s): Steven C. Hirschfeld
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christian J. Rowley
Arbitrator(s): Steven Meyrich, Otto K. Hilbert, Knute Arthur Rife
Hearing Site: Salt Lake City, UT
| | |
| 12-00052 | 11/19/2012 | Claimant(s): Isabel Robinson
Claimant Lawyers(s): Jeffrey M. Salas
Respondent(s): Brian Horne, Shelley Stevens, Investment Management Corporation
Respondent Lawyers(s): Brian Young Horne, Kevin Kunz, Shelley Ann Stevens
Arbitrator(s): George J. Karlsven
Hearing Site: Salt Lake City, UT
| | $61,422 |
| 10-04789 | 05/04/2012 | Claimant(s): Mike Stidd, Sherry Stidd
Claimant Lawyers(s): Jan Graham
Respondent(s): Clint Wyckoff, Mark Sumsion, Mark Wyckoff, Phillip Borup, Scott Garbutt, Stonehurst Securities.
Respondent Lawyers(s): Evan A. Schmutz, Phillip Borup, Scott T. Evans
Arbitrator(s): George J. Karlsven, Federico C. Alvarez, Michael Scott Eldredge
Hearing Site: Salt Lake City, UT
| | Expungement |
| 11-00003 | 11/15/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Blaine Davis
Respondent Lawyers(s): Blaine Carter Davis
Arbitrator(s): Peter J. Broullire
Hearing Site: Salt Lake City, UT
| | |
| 11-00935 | 09/29/2011 | Claimant(s): Lois Moser, Royce Moser
Claimant Lawyers(s): Royce Moser
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Bruce Brown
Hearing Site: Salt Lake City, UT
| | $362 |
| 10-03278 | 08/26/2011 | Claimant(s): Steven Casull
Claimant Lawyers(s): Steven J. Casull
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Rodger A. Nye
Arbitrator(s): Peggy Peterson, A. O. Headman, Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
| | |
