| 09-05961 | 03/31/2011 | Claimant(s): MBO Insurance Brokers. PSP
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): James D. Murray, Jonathan H. Krotinger, Michael Craig Butterworth
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-03610 | 02/22/2011 | Claimant(s): David Fanella
Claimant Lawyers(s): David Fanella
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $10,425 |
| 10-01188 | 02/14/2011 | Claimant(s): Valerie Charlton Char & Devron H. Char
Claimant Lawyers(s): Devron H. Char
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $425 |
| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $0 |
| 09-04864 | 10/11/2010 | Claimant(s): Steve Miura
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Kimon Peter Daifotis
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Carlos Richard Mangum, Jonathan H. Krotinger, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
| 09-05191 | 09/29/2010 | Claimant(s): Mark Dowie & Wendy Ann Schwartz, Michael Berger & Deborah J. Slater Trust, Richard Kirschman Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 05-04291 | 09/24/2010 | Claimant(s): Elaine Lambert, Winston Lambert, Dr. Elaine Lambert Employee CPP PL, Winston Lambert Invest. Employee MPP, Winston Lambert Investments Emp. PS PL
Claimant Lawyers(s): B. Ray Zoll, Reuben L. Nocos
Respondent(s): Wedbush Securities Inc., Christopher Short
Respondent Lawyers(s): Charles B LaChaussee, Christopher G. Short
Arbitrator(s): Donald S. Duerson, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 09-01188 | 08/11/2010 | Claimant(s): Anna Campbell
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Donald Dunakin
Respondent Lawyers(s): Donald Dunakin
Arbitrator(s): Jonathan H. Krotinger, George Burton Brewster, Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | $81,440 |
| 03-02289 | 08/13/2007 | Claimant(s): Sandra Murray, Charles G. & Sandra Murray Living Trus
Claimant Lawyers(s): Sandra Murray
Respondent(s): Andrew Fairchild, J.P. Morgan Clearing Corp., A.G. Edwards & Sons., Ronald Kabat, PMG Securities Corporation
Respondent Lawyers(s): Andrew J. Fairchild, Henry Wang, Jeffrey W. Coverdell, Ronald S. Kabat
Arbitrator(s): Robin Lynn Berry, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
