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FINRA Awards for Financial West Group

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0142601/29/2024Claimant(s): Justin Widick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Financial West Group
Respondent Lawyers(s): Gene Valentine, CEO
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
21-0307808/23/2022Claimant(s): Tod Lenhoff
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Financial West Group, Madison Avenue Securities
Respondent Lawyers(s): Gene Valentine, Jeffrey S. Kob
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
18-0363807/11/2019Claimant(s): Melody Juge
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Financial West Group, Corecap Investments.
Respondent Lawyers(s): Gene Valentine, Judith A. Villarreal
Arbitrator(s): Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
16-0340704/23/2018Claimant(s): Thomas Calder
Claimant Lawyers(s): Thomas B. Calder
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Sandra L. Malek, Elliott David Finkel, Michael Craig Ditty
Hearing Site: Los Angeles, CA
09-0371106/22/2011Claimant(s): Financial West Group
Claimant Lawyers(s): Edward S. Zusman
Respondent(s): Shail Mehta
Respondent Lawyers(s): Joanne H. Mehta
Arbitrator(s): Walter R. Whitman
Hearing Site: Los Angeles, CA
09-0371011/19/2009Claimant(s): Financial West Group
Claimant Lawyers(s): Robert Creaser
Respondent(s): Walter Ellis
Respondent Lawyers(s): Walter Allen Ellis
Arbitrator(s): George Frederick Garris
Hearing Site: Los Angeles, CA

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