| 07-03283 | 10/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Eric Dunavant
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Prince C. Chambliss, G. Phillip Shuler, Robert A. Wojcik
Hearing Site: New Orleans, LA
| | |
| 08-01403 | 10/12/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan Guerette
Respondent(s): Lee Munson, Portfolio LLC
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks
Hearing Site: Albuquerque, NM
| | |
| 07-02068 | 04/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Javier Aviles, Banc of America Investment Services Inc.
Respondent Lawyers(s): David Brodie, Peter J. Aldrich
Arbitrator(s): David P. Slater, Mauricio Arcadier, Dorothy N. Johnson
Hearing Site: Boca Raton, FL
| | |
| 08-00728 | 01/02/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Amon Allahyari
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Alvin L. Fishman, Walter P. Hitchcock, Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 07-03342 | 11/19/2008 | Claimant(s): Damon Jones, Eric Eremia
Claimant Lawyers(s): Damon Lawrence Jones, Eric Anthony Eremia
Respondent(s): David Morgan, Charles Schwab & Co..
Respondent Lawyers(s): Christopher M. Mason
Arbitrator(s): S. Jeffrey Minker, Jeffrey Charles Evanello, Frank R. Mead
Hearing Site: Phoenix, AZ
| | |
| 06-04100 | 09/24/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): RBC Dain Rauscher., Scott Karpiak
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Alan J. Blocher, Catherine S. Kopley, Elena P. Anastasiou
Hearing Site: Philadelphia, PA
| | |
| 08-01162 | 09/22/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Thomas Hodges
Respondent Lawyers(s): Thomas S. Hodges
Arbitrator(s): Emily J. Lewis, John B. Glueckert, Jo Ann Numbers
Hearing Site: Cincinnati, OH
| | Stipulated Award |
