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FINRA Awards for Mike West

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0221203/04/2024Claimant(s): John McCune
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Susan E. Maloney
Hearing Site: Manchester, NH
23-0244002/07/2024Claimant(s): Herbert Shiraishi
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Minnie Loo
Hearing Site: Honolulu, HI
23-0118001/29/2024Claimant(s): Devin Garofalo
Claimant Lawyers(s): Devin J. Garofalo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
23-0050910/13/2023Claimant(s): Jane Scarbrough
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
22-0225706/06/2023Claimant(s): Gale Brodie
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Waddell & Reed, MSI Financial Services.
Respondent Lawyers(s): Ariel N. Brotman, Mike West
Arbitrator(s): Gary A. Hooker, Philip Aaron Tymon, Bruce J Highman
Hearing Site: San Francisco, CA
20-0298803/11/2021Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Mike West
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
20-0299003/05/2021Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Mike West
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA

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