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FINRA Awards for Charles Schwab & Co..

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Displaying 21-30 out of 395 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0149611/21/2023Claimant(s): Alfredo Fresno
Claimant Lawyers(s): Alfredo Fresno
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Darryl C. Wilson, Lorraine Naomi Pitre, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
Checkmark IconDismissed by Rule 12206
23-0182611/15/2023Claimant(s): Michael West
Claimant Lawyers(s): Michael West
Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
Checkmark Icon$300
22-0067711/10/2023Claimant(s): Robert Hamilton, Robert J. Hamilton IRA
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Louis J. Weber, Karen Roberts Washington, Joseph A. Vicario
Hearing Site: Dallas, TX
Checkmark Icon$0
23-0168710/20/2023Claimant(s): Tiffiney Brittingham
Claimant Lawyers(s): Tiffiney Taylor Brittingham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
Checkmark Icon$0
22-0269109/15/2023Claimant(s): Rechard Banks-Davis
Claimant Lawyers(s): Rechard Antonio Banks-Davis
Respondent(s): Austin Witt, Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Michael S. Jordan
Hearing Site: Chicago, IL
Checkmark Icon$0
23-0044709/01/2023Claimant(s): Margaret Burnes
Claimant Lawyers(s): Margaret Burnes
Respondent(s): Gerald Markwith, Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
Checkmark IconExpungement
23-0042207/10/2023Claimant(s): Charles Fulmore
Claimant Lawyers(s): Charles S. Fulmore
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Karl A. Vogeler
Hearing Site: Orlando, FL
Checkmark Icon$41,850
23-0021706/12/2023Claimant(s): Minjoo Lee
Claimant Lawyers(s): Minjoo Lee
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mary Mackey
Hearing Site: San Francisco, CA
Checkmark Icon$0
19-0154406/12/2023Claimant(s): Dawn Forman
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
Checkmark Icon$0
21-0235406/09/2023Claimant(s): Reid Nagle Revocable Trust
Claimant Lawyers(s): John Fialcowitz
Respondent(s): Charles Schwab & Co.., Rockingstone Advisors
Respondent Lawyers(s): Gordon C. Young, John Fialcowitz
Arbitrator(s): Ellen J. Abrams, Carl Henry Perdue, Mark E. English
Hearing Site: Boca Raton, FL
Checkmark Icon$0

395 Results

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