| 11-04596 | 12/20/2012 | Claimant(s): Timothy Tutko
Claimant Lawyers(s): David A. Nold
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Michael R.E. Sanders, Todd A. Bloom, David Gonzalez
Hearing Site: Seattle, WA
|  | Expungement |
| 11-00754 | 12/04/2012 | Claimant(s): Carole Abom, John Abom
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): Elliot B. Platt, Glenn Lloyd Nobel, Shelley J. Michaels
Hearing Site: Philadelphia, PA
| | Expungement |
| 12-00973 | 11/28/2012 | Claimant(s): Robert Zepfel
Claimant Lawyers(s): Robert J Zepfel
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $5,600 |
| 12-00461 | 11/06/2012 | Claimant(s): James E. Wilks and Pamela R. Wilks, JT
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Richmond, VA
| | $0 |
| 12-01342 | 10/11/2012 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | $163 |
| 10-02880 | 09/25/2012 | Claimant(s): Karl Townsend & Karen F. Townsend Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
| 11-02298 | 09/07/2012 | Claimant(s): David Elias 2002 Trust, Helene R. Elias 2002 Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick Mahoney
Arbitrator(s): C. Sumpter Logan, Neil Harvey Smith, Brock Bingham Gordon
Hearing Site: Birmingham, AL
| | Expungement |
| 11-03478 | 08/09/2012 | Claimant(s): David K. Berg
Claimant Lawyers(s): David K. Berg
Respondent(s): Bari Havlik, Charles Schwab, Charles Schwab & Co.., Paul Okonoski
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
| | Expungement |
| 11-01561 | 08/06/2012 | Claimant(s): Daniel Hobart, Daniel James Hobart Rollover IRA
Claimant Lawyers(s): Jason D. Doss
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
| | Expungement |
| 09-07132 | 08/02/2012 | Claimant(s): Daniel Violette, Daniel M. Violette IRA Rollover
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Steven Meyrich, Marc H. Schtul, Edward Allan Hindman
Hearing Site: Denver, CO
| | Expungement |
