| 23-01826 | 11/15/2023 | Claimant(s): Michael West
Claimant Lawyers(s): Michael West
Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
|  | $300 |
| 23-01402 | 11/06/2023 | Claimant(s): Loreen Gilbert
Claimant Lawyers(s): Bryce M Cullinane
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Michael West
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 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
| | |
| 21-02366 | 04/01/2022 | Claimant(s): James Davis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Securities America., Centaurus Financial.
Respondent Lawyers(s): Gregory M. Curley, Michael West
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 21-00082 | 12/16/2021 | Claimant(s): James Bales
Claimant Lawyers(s): James Cosby
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael West
Arbitrator(s): Edward R. Hipp, Lita S Menkin, Gordon M. Wase
Hearing Site: Norfolk, VA
| | |
| 19-01639 | 04/17/2020 | Claimant(s): Steven Margulin
Claimant Lawyers(s): Tyson W. Kovash
Respondent(s): Centaurus Financial., National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Michael West
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 19-03186 | 04/15/2020 | Claimant(s): Marc Korsch
Claimant Lawyers(s): Jessica Calloway
Respondent(s): Centaurus Financial., Trustmont Financial Group.
Respondent Lawyers(s): Anthony C. Hladek, Michael West
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
| 19-02046 | 03/26/2020 | Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael West
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 18-01739 | 09/27/2019 | Claimant(s): Timothy Tremblay
Claimant Lawyers(s): Tyson W. Kovash
Respondent(s): Prudential Equity Group, Centaurus Financial., Voya Financial Advisors.
Respondent Lawyers(s): Alan S. Brodherson, Christina Vourakis, Michael West
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 12-02447 | 11/01/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael West
Respondent(s): Sara Reed
Respondent Lawyers(s): Irwin Stein
Arbitrator(s): Alexander L. Mazour, Kathryn J. Toronto, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | Expungement |
