| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01677 | 10/19/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01083 | 09/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): MBO Insurance Brokers. PSP
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Sterling N. Frost, James R. Dickson
Hearing Site: San Francisco, CA
| | Expungement |
| 12-00050 | 07/20/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Kelly Chapman
Respondent Lawyers(s): Kelly Chapman
Arbitrator(s): Mary Beth Wheeler, Rody P. Biggert, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
| | Expungement |
| 10-03164 | 11/11/2011 | Claimant(s): William Johnson
Claimant Lawyers(s): William J. Johnson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Joseph J. Slotnik, Marie G. Peterson, Laurence V. Senn
Hearing Site: Boca Raton, FL
| | |
| 09-05551 | 08/09/2011 | Claimant(s): Michael Ohlfs
Claimant Lawyers(s): George C. Aucoin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jesse L. Miller
Arbitrator(s): Arthur E. Otten, Anita Rae Shapiro, Avery B. Goodman
Hearing Site: Denver, CO
| | |
| 09-03578 | 11/30/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Douglas Kuhlman
Respondent Lawyers(s): Robert D. Kehoe
Arbitrator(s): Mitchell B. Goldberg, Mark L. Ferris, Dieter Domanovic
Hearing Site: Cleveland, OH
| | |
| 09-05471 | 10/21/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John Farrell
Respondent(s): Kristian Colvin
Respondent Lawyers(s): Jenny K. Goodman
Arbitrator(s): Lisa M. Roth, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 09-05226 | 07/26/2010 | Claimant(s): Gieseking Family Trust Dated 10/03/02
Claimant Lawyers(s): Navid Yadegar
Respondent(s): Charles Schwab & Co.., The Charles Schwab Corporation
Respondent Lawyers(s): Michelle Fron
Arbitrator(s): William M. Howard, George N. Roy, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-00260 | 02/26/2010 | Claimant(s): Timothy Leahy
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): John S. Lord
Arbitrator(s): David P. Slater, Gary F. Lang, James John Mougey
Hearing Site: Orlando, FL
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