| 12-01407 | 04/19/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jesse B. Simpson
Respondent(s): Timothy Moran, Private Client
Respondent Lawyers(s): Corporate Officer, Timothy Damien Moran
Arbitrator(s): Eugene R. Nielson, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 12-00957 | 04/12/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Ellen McDonough, Paul McDonough
Respondent Lawyers(s): Ellen McDonough, Paul J. McDonough
Arbitrator(s): James F. Carlson, Donald W. McKenzie, Allan Robert Ettinger
Hearing Site: Chicago, IL
| | Expungement |
| 12-00954 | 03/21/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Suzanne Chen, Golden State Advisors
Respondent Lawyers(s): David H. Schwartz
Arbitrator(s): Alvin L. Fishman, Dean J. Dietrich, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 12-02820 | 02/27/2013 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Robert Rose, Russell Brautigam, Russel D. Brautigam Roth Conv. IRA, Tom L. Poe and Margie Elaine Poe JT TEN, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Randall T. Stack, Patricia Gunn, Ronald A. Isackson
Hearing Site: Tampa, FL
| | Expungement |
| 11-01601 | 02/20/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David W. Erb
Respondent(s): Michael Duprey, Bluemont Capital Advisors
Respondent Lawyers(s): Hannah Berkowitz, Jason W. Gaarder
Arbitrator(s): William H. Malloy, Stephany Adriene Watson, Randy Cepuch
Hearing Site: Washington, DC
| | |
| 12-02430 | 01/23/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Karl Townsend, Karen Fann Townsend Trust
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Sterling N. Frost, James R. Dickson, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01483 | 12/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 11-01992 | 12/17/2012 | Claimant(s): Thomas Meagher
Claimant Lawyers(s): James L. Parks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): David J. Reis
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 12-01670 | 11/27/2012 | Claimant(s): Kimon Peter Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ashley Nobili UFLUTMA, Corinne Nobili UFLUTMA, Raul Nobili Trust U/A dtd 11/02/99
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Sterling N. Frost, James R. Dickson, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01548 | 11/16/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Daniel J. Lancaster, Jr. IRA
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
