| 09-04602 | 01/21/2011 | Claimant(s): Konstantinac C. Panagios, Paul J. Panagios, Konstantina C. Panagios and Pauline Chil, Pauline Chilakis and Konstantina C. Pana
Claimant Lawyers(s): Paul J. Panagios
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 10-02724 | 01/21/2011 | Claimant(s): Jawaid Murtaza
Claimant Lawyers(s): Jawaid Murtaza
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-04028 | 01/13/2011 | Claimant(s): Phyllis Williams, Phyllis S. Williams Revocable Trust
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | Expungement |
| 09-02939 | 01/07/2011 | Claimant(s): Roger Maurer, Shay Lindemann, Maurer and Associates Capital Management
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Dennis R. Frohlich, Jerome C. Zackroff, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 09-04866 | 01/07/2011 | Claimant(s): Patrick J. Rohan., Diane E. Rohan Profit Sharing Plan U/A, Patrick J. Rohan Pension Plan U/A dtd 3/, Patrick J. Rohan & Diane E. Rohan Trust, Patrick J. Rohan Trust
Claimant Lawyers(s): Christopher T. Vernon, Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Doris V. Knotter, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Expungement |
| 08-04257 | 12/27/2010 | Claimant(s): Lawrence Orlick, Orlick-Donovan Family Trust
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00987 | 12/20/2010 | Claimant(s): Marianne Iamele
Claimant Lawyers(s): Merritt N. Spencer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Richard F. Dole, Maurice J. Fallas, Danielle L. Hargrove
Hearing Site: Houston, TX
| | $65,686 |
| 10-02329 | 12/17/2010 | Claimant(s): Cynthia Keogh, Michael Palmisano, Cynthia Palmisano IRA, Michael Palmisano IRA, Michael and Cynthia Palmsiano, Hilma Rossdahl Trust, Martha Rossdahl Trust
Claimant Lawyers(s): Michael Palmisano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | $338 |
| 10-02953 | 12/16/2010 | Claimant(s): Donald Englehart
Claimant Lawyers(s): Donald Joseph Englehart
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): W. Sean Kelleher
Hearing Site: Cleveland, OH
| | $2,324 |
