| 09-02287 | 10/04/2010 | Claimant(s): Deborah Hill, IRA Rollover Dated 09/13/92
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Terri Coster Boesch, Hadden Wing Roth, Michael Craig Butterworth
Hearing Site: San Francisco, CA
|  | $0 |
| 09-01189 | 10/01/2010 | Claimant(s): David F. Wyatt and Nancy A. Wyatt
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert P. Clifford, Edward A. Trabin, Thomas W. Gregory
Hearing Site: Los Angeles, CA
| | $0 |
| 08-01918 | 09/30/2010 | Claimant(s): Thomas Collins
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Richard W. Thornburg, Harvey Alan Blicksilver, John M. Richey
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 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 |
| 09-04331 | 09/28/2010 | Claimant(s): Helen Oathout, Joan Burdick, Peggy Armstrong
Claimant Lawyers(s): William Bankston
Respondent(s): Charles Schwab & Co.., Charles Schwab Corporation, Charles Schwab Financial Services Group, Charles Schwab Investment Management, In, Schwab Investments.
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Alexander H. Slivka, William J. Bender, Nancy J. Highness
Hearing Site: Anchorage, AK
| | $75,000 |
| 09-03717 | 09/21/2010 | Claimant(s): Gerald Lanzalotto
Claimant Lawyers(s): Paul B. Radvany
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-01190 | 09/15/2010 | Claimant(s): Lynell Miller Jones, IRA Rollover
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jerold R. Babin, Anthony G. Sousa, Shawn Ridgell
Hearing Site: San Francisco, CA
| | $0 |
| 09-00203 | 09/14/2010 | Claimant(s): Maureen Graf, Robert Bulchis
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Ralph A. Cotton, James N. D'Orso, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 09-04240 | 09/14/2010 | Claimant(s): Robert Lewis, Lewis & Associates., Ridgecrest Groves., John Benjamin Lewis & Robert W. Lewis, Barbara Murphy Lewis Trust, Robert Wayne Lewis Revocable Trust
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Patrick D. King, Marilyn K. Dirks, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 09-00415 | 09/07/2010 | Claimant(s): Laurel Blau Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Robert L. Agusto, James F. Carlson, David M. Fetter
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
