| 23-01426 | 01/29/2024 | Claimant(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
| | |
| 21-03078 | 08/23/2022 | Claimant(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
| | |
| 18-03638 | 07/11/2019 | Claimant(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
| | |
| 16-03407 | 04/23/2018 | Claimant(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
| | |
| 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 |
| 09-03711 | 06/22/2011 | Claimant(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
| | |
| 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 |
| 09-03710 | 11/19/2009 | Claimant(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
| | |
| 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 |
