| 08-02886 | 04/23/2010 | Claimant(s): Richard Solano
Claimant Lawyers(s): Kenneth Gunshor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): Eugene M. Kaufman, Leonard M. Bakal, Keely D. Parr
Hearing Site: New York, NY
|  | $0 |
| 09-03470 | 04/21/2010 | Claimant(s): Honolulu Professional SVCS LTD U/A
Claimant Lawyers(s): Margery S. Bronster
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Frank R Weaver, Carol M. Egan, Theodore G. Ray
Hearing Site: Honolulu, HI
| | $45,000 |
| 08-03904 | 04/20/2010 | Claimant(s): Kathleen Pomeroy, The Marital Deduction Trust, The Pomeroy Bypass Trust, The Pomeroy Family Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Jane Bradley, William A. Husa, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $768,944 |
| 09-00992 | 04/20/2010 | Claimant(s): Jean R. Christopherson - Wall IRA
Claimant Lawyers(s): David Gaba
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): G. E. Craig Doupe, Brian T. Applegate, William R. Hickman
Hearing Site: Seattle, WA
| | $95,150 |
| 09-00976 | 04/16/2010 | Claimant(s): The Sohaili Trust
Claimant Lawyers(s): Masood Sohaili
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai P. Klaassen
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $1,050 |
| 08-02135 | 04/09/2010 | Claimant(s): Marc Mauney & Lynne Rogerson Rev. Living, Qualified Terminable Interest Trust
Claimant Lawyers(s): John A. Bender
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Joseph C. Roberts, Jonathan W. Kaiser, Sheryl Ann Seipp
Hearing Site: Seattle, WA
| | $246,560 |
| 08-04919 | 03/26/2010 | Claimant(s): Mark Martin, Nancy Martin
Claimant Lawyers(s): Kenton E. Knickmeyer
Respondent(s): Charles Schwab & Co.., Cortland Associates Inc
Respondent Lawyers(s): Phillip J. Mackey, R. Prescott Sifton
Arbitrator(s): Thomas J. Ray, R. Phillip Reed, Julie L. DeWitt
Hearing Site: St. Louis, MO
| | $0 |
| 09-05245 | 03/15/2010 | Claimant(s): Tissapeh Hami
Claimant Lawyers(s): Tissapeh Hami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $9,781 |
| 08-03264 | 03/11/2010 | Claimant(s): Adam Frank, Isaac Frank, Laurence Frank, Adam Joel Frank IRA, Isaac Frank IRA, Laurence M. Frank IRA, Lois L. Frank, Lois L. Frank IRA
Claimant Lawyers(s): James K. Langdon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Howard S. Levine, Frank W. Virgin, Andy W. Morgan
Hearing Site: Atlanta, GA
| | $0 |
| 08-02905 | 03/03/2010 | Claimant(s): Bruce Rogovin
Claimant Lawyers(s): Steve Rogovin
Respondent(s): Charles Schwab & Co.., Robert Lewandowski, Charles Schwab Investment Management, In, Schwab Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Barbara E. Dixon
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
