| 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
| | |
| 19-00677 | 12/20/2019 | Claimant(s): Deborah Alliano
Claimant Lawyers(s): Deborah A. Alliano
Respondent(s): Kelley Slaught
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
|  | $0 |
| 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
| | |
| 17-00230 | 09/28/2018 | Claimant(s): Elide Corporation
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Robert B. Hansohn, Robert E. Jenks, Aurelio A. Garcia
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-01050 | 02/08/2018 | Claimant(s): Gregory Sain
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Joanne Harris, Robert Harris, The Harris Revocable Trust
Respondent Lawyers(s): Robert N. Harris
Arbitrator(s): Gilbert R. Serota, John J. Fitzpatrick, Benjamin Slomoff
Hearing Site: San Francisco, CA
| | Expungement |
| 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 |
