| 15-02189 | 12/14/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Jimmy Gonzalez
Respondent Lawyers(s): Jimmy Gonzalez
Arbitrator(s): Christopher J. Klein, Lance A. Harke, Stewart L. Appelrouth
Hearing Site: Miami, FL
| | |
| 14-03372 | 08/30/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John F. Marsh
Respondent(s): Carolyn Kitzel, J.P. Morgan Securities
Respondent Lawyers(s): Christopher S. Griesmeyer, Jack J. Carriglio
Arbitrator(s): Kevin J. Conway, Michael Steinberg, Deberah Singer Bernstein
Hearing Site: Chicago, IL
| | |
| 15-03386 | 08/25/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Susanna Foels, Amrita Equities, Ridhwan Foundation
Respondent Lawyers(s): Christopher T. Leach
Arbitrator(s): Jerome C. Zackroff, Leonard M. Goldstein, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 16-00638 | 08/12/2016 | Claimant(s): Mark Smalley
Claimant Lawyers(s): Mark Brian Smalley
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Robert E. Anderson, Joseph H. Cerame, Leo J. Karwejna
Hearing Site: Newark, NJ
| | |
| 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 |
| 14-01190 | 04/14/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John Marsh
Respondent(s): Sadeer Jamil
Respondent Lawyers(s): John A. Hubbard
Arbitrator(s): John F. Burns, Barbara A. Johannessen, Eugene Halsey Bosart
Hearing Site: Detroit, MI
| | |
| 14-03171 | 02/19/2016 | Claimant(s): Ivan Rodriguez
Claimant Lawyers(s): Samuel Rodriguez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Kenneth M. Jackson, Melva J. Harmon, Robert Stewart Barney
Hearing Site: Memphis, TN
| | |
| 14-01728 | 04/02/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 13-01271 | 03/12/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Joshua Haron, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Linda J. Baer, Brian F Loveman, Michele S. Riley
Hearing Site: New York, NY
| | |
| 14-01758 | 03/09/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Keith Steel, Megan Steel, Anpei Lin, Community Property
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Loyd Paxton Derby, Carlos Richard Mangum, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
