10-00168 | 11/11/2011 | Claimant(s): Chris Williams, David Beecham, Deborah Williams, Jerry Davidson, Jessie Beecham, Kathleen Davidson, Class Action Watch, David Beecham IRA, Jessie Beecham IRA, Davidson Family Trust UADTD 10.27.1979, Williams Family Trust Claimant Lawyers(s): Brian D. Miller Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation Respondent Lawyers(s): Stephen Young Arbitrator(s): Helen Marinak Blohm, Gary A. Hooker, Michael Lancaster Garcia Hearing Site: San Francisco, CA
| | Expungement |
07-03390 | 10/01/2010 | Claimant(s): Sharon Larocque, IRA Claimant Lawyers(s): Sharon Larocque Respondent(s): Travis Branch, Brookstreet Securities Corporation Respondent Lawyers(s): H Thomas Fehn, Travis A. Branch Arbitrator(s): Harry B. Endsley, Gary A. Hooker, Carol M. Egan Hearing Site: Honolulu, HI
| | $0 |
09-01477 | 06/29/2010 | Claimant(s): Intevac. Claimant Lawyers(s): Robert L. Schnell Respondent(s): Citigroup Global Markets., Citigroup Inc. Respondent Lawyers(s): Julie A. Kole Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Gail Killefer Hearing Site: San Francisco, CA
| | Auction Rate Securities related |
09-00378 | 12/22/2009 | Claimant(s): Vasu Arora Claimant Lawyers(s): Vasu D. Arora Respondent(s): TD Ameritrade., Joseph Moglia Respondent Lawyers(s): Brad S. Daniels, Lois O. Rosenbaum Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Jeffrey M. Allen Hearing Site: San Francisco, CA
| | $0 |