| 13-01541 | 03/14/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Phillip G. Eckenrode
Respondent(s): Wells Fargo Advisors, Kimberly Perreira
Respondent Lawyers(s): Lawrence R. Cock, Thomas V. Dulcich
Arbitrator(s): Paul Alden Skoog, Larry T. Coady, James John Jurinski
Hearing Site: Portland, OR
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| 13-02060 | 02/07/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Doris Bell Cogswell Morfit Trust
Respondent Lawyers(s): Alan C. Friedberg
Arbitrator(s): Arthur E. Otten, Dominic Alecci, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | Expungement |
| 11-04088 | 12/17/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Todd Thrasher
Respondent Lawyers(s): S. Francis Baldwin, Sal Hernandez
Arbitrator(s): Thomas J. Ray, Phillip L. Wisely, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | |
| 13-00187 | 12/03/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Barry Belmont, Gordon Belmont, Lock Haven Industrial Park Inc., Towne Center Properties Inc., JLB/JAB Limited Partnership, GST Exempt Marital Trust, GST Exempt Residuary Trust, GST Non-Exempt Marital Trust
Respondent Lawyers(s): Barry Belmont, Gordon L. Belmont
Arbitrator(s): David J. Anderson, Laurent C. Vonderweidt, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04051 | 11/05/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): David Licht, Emanuel Licht
Respondent Lawyers(s): David Evan Licht, Emanuel Licht
Arbitrator(s): Bernard M. Levine, Robert T. Costello
Hearing Site: Newark, NJ
| | Expungement |
| 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 |
| 12-01859 | 10/16/2013 | Claimant(s): Joan Teachworth, Walter Teachworth
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management,
Respondent Lawyers(s): Michael West
Arbitrator(s): Mary Ann Tunick, Thomas A. Cipolla, Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 12-03918 | 06/27/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Allison Ember, Daniel Ember UILUTMA, Michael Ember UILUTMA, G. Howard and Patricia R. Ember JTTEN
Respondent Lawyers(s): G. Howard Ember
Arbitrator(s): Phillips M. Montross, Michael Howard Rosenbloom, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Expungement |
| 11-03575 | 06/03/2013 | Claimant(s): Torrey Pines Securities.
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Adam Schwartz, Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey
Hearing Site: Los Angeles, CA
| | |
| 12-02310 | 04/25/2013 | Claimant(s): Christopher Hopkins
Claimant Lawyers(s): Marianna Cline
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Frank Samuelsohn, James F. Carlson, Evonne A. Hurst
Hearing Site: Milwaukee, WI
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