| 22-01244 | 03/09/2023 | Claimant(s): Kelley Slaught
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael West
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
| | |
| 20-02090 | 05/20/2021 | Claimant(s): Kelley Slaught
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Paul King
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 20-00356 | 08/20/2020 | Claimant(s): Mark Williams
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 19-02400 | 03/16/2020 | Claimant(s): Timothy Metcalf
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lauren Beckman
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 19-00289 | 10/28/2019 | Claimant(s): Brian Rener
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik, John T. McGuire
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 16-00052 | 07/06/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Holly Conover-Wade, James Wade
Respondent Lawyers(s): Holly Conover-Wade DO NOT CONTACT, James William Wade - DO NOT CONTACT
Arbitrator(s): Roger C. Benson, Joseph E. Santaularia, Muriel Desloovere
Hearing Site: Tampa, FL
| | Expungement |
| 14-01606 | 12/29/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Respondent Lawyers(s): William Young
Arbitrator(s): Leonard E. Benade, Timothy J. Wright, Lynne T. Albert
Hearing Site: Raleigh, NC
| | Expungement |
| 14-01912 | 12/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ben Schwartz, Simplified Employee Plan,Ben I. Schwartz, Schwartz Commercial Realty Defined Benef
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Peter H. Daly, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 14-01607 | 10/15/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Brian DeWitt, Mila DeWitt
Respondent Lawyers(s): Brian L. DeWitt
Arbitrator(s): Linda M. McCoy, E. Duane Stephens, Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
| 14-00662 | 08/18/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): The Solomon Living Trust
Respondent Lawyers(s): William B. Young
Arbitrator(s): Carlos Richard Mangum, James N. D'Orso, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
