FINRA Awards for Financial West Group

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-02468	06/16/2014	Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1 Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini Hearing Site: Los Angeles, CA		Expungement
07-02708	03/02/2011	Claimant(s): Carol Flier, Nicole Flier, First Savings Bank C/F Dennis Flier IRA, Dennis Flier. Defined Benefit Trust, Flier Family Trust DTD 1/21/98 Claimant Lawyers(s): Dennis Flier Respondent(s): Financial West Group Respondent Lawyers(s): Edward S. Zusman Arbitrator(s): Barry A. Mainardi, Robert Rosen, Philip H. Marmurowski Hearing Site: Las Vegas, NV		$0
07-01144	11/28/2008	Claimant(s): Judith Fogel Claimant Lawyers(s): Joseph S. Fogel Respondent(s): Financial West Group, Marc Tucker Respondent Lawyers(s): Edward S. Zusman Arbitrator(s): Vaughn Thomas Hale, Robert H. Wrenn, Willard H. Altman Hearing Site: Los Angeles, CA		Expungement