| 13-00784 | 03/04/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
| | |
| 13-00518 | 01/26/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): David Hanford, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Bernard M. Levine, Michael L. Moran, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 14-01606 | 12/29/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Respondent Lawyers(s): William Young
Arbitrator(s): Leonard E. Benade, Timothy J. Wright, Lynne T. Albert
Hearing Site: Raleigh, NC
| | Expungement |
| 14-01912 | 12/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ben Schwartz, Simplified Employee Plan,Ben I. Schwartz, Schwartz Commercial Realty Defined Benef
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Peter H. Daly, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 14-01607 | 10/15/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Brian DeWitt, Mila DeWitt
Respondent Lawyers(s): Brian L. DeWitt
Arbitrator(s): Linda M. McCoy, E. Duane Stephens, Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01854 | 09/09/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Wai Kee Chan
Respondent Lawyers(s): Joe Gehring, Peter M. Vial
Arbitrator(s): Mary Margaret Bush, Gerald Joseph Wilfley, Urs Laeuchli
Hearing Site: Honolulu, HI
| | |
| 12-02325 | 08/25/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jonathan C. Thau
Arbitrator(s): Gary A. Hooker, James D. Murray, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | |
| 14-00662 | 08/18/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): The Solomon Living Trust
Respondent Lawyers(s): William B. Young
Arbitrator(s): Carlos Richard Mangum, James N. D'Orso, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 13-03501 | 06/10/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Daniel Violette, Daniel M. Violette IRA Rollover
Respondent Lawyers(s): Timothy Dennin
Arbitrator(s): Martha Jeanne Wilcoxson, Thomas L. Dueber, David L. Erickson
Hearing Site: Denver, CO
| | Expungement |
| 13-02727 | 05/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Brad Baggarly
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Kenneth R. Hyman, June McLaughlin, A. Joel Klein
Hearing Site: Los Angeles, CA
| | Expungement |
