Richard Kelter v. Associated Financial Group, In, et al

Justia Dockets & Filings Ninth Circuit U.S. Court of Appeals, Ninth Circuit Richard Kelter v. Associated Financial Group, In, et al

Richard Kelter v. Associated Financial Group, In, et al

Plaintiff - Appellee,:	RICHARD KELTER, Individually and as Trustee of the Richard Kelter Trust Dated June 30, 2004
Defendant - Appellant,:	ASSOCIATED FINANCIAL GROUP, INC., ASSOCIATED SECURITIES CORP. and ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.
Defendant,:	JEFFREY A. FORREST, WEALTHWISE, LLC, APEX EQUITY OPTIONS FUND, LP, a Delaware Limited Partnership, APEX MANAGEMENT, LLC, A Utah Limited Liability Company, KYLE J. THOMPSON, an individual, CORY H. THOMPSON, an individual, DAVID C. CONDIE, an individual, THOMPSON CONSULTING, INC., a Utah corporation and SHERWOOD FINANCIAL, INC., a Utah corporation
Case Number:	09-55429
Filed:	March 23, 2009
Court:	U.S. Court of Appeals, Ninth Circuit
Nature of Suit:	Securities, Commodities, Exchange

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Plaintiff - appellee,: RICHARD KELTER, Individually and as Trustee of the Richard Kelter Trust Dated June 30, 2004
Represented By:	Lee Randy Goldberg
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Defendant - appellant,: ASSOCIATED FINANCIAL GROUP, INC.
Represented By:	Kevin K. Eng
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Defendant - appellant,: ASSOCIATED SECURITIES CORP.
Represented By:	Kevin K. Eng
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Defendant - appellant,: ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.
Represented By:	Kevin K. Eng
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Defendant,: JEFFREY A. FORREST
Represented By:	Jeffrey A. Forrest
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Defendant,: WEALTHWISE, LLC
Represented By:	Jeffrey A. Forrest
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Defendant,: APEX EQUITY OPTIONS FUND, LP, a Delaware Limited Partnership
Represented By:	Jonathan Gavin Fetterly
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Defendant,: APEX MANAGEMENT, LLC, A Utah Limited Liability Company
Represented By:	Jordan David Susman
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Defendant,: KYLE J. THOMPSON, an individual
Represented By:	Jordan David Susman
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Defendant,: CORY H. THOMPSON, an individual
Represented By:	Jordan David Susman
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Defendant,: DAVID C. CONDIE, an individual
Represented By:	David C. Condie
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Defendant,: THOMPSON CONSULTING, INC., a Utah corporation
Represented By:	Jordan David Susman
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Defendant,: SHERWOOD FINANCIAL, INC., a Utah corporation
Represented By:	Jordan David Susman
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