| 19-02822 | 08/06/2021 | Claimant(s): Constantine Cristo
Claimant Lawyers(s): Constantine Gus Cristo
Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
|  | $0 |
| 17-02768 | 02/07/2019 | Claimant(s): Norman Lipson
Claimant Lawyers(s): Robert J Girard
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Doris V. Knotter, Thomas L. Marshall, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
| 15-01927 | 02/04/2019 | Claimant(s): Dolan Family Trust Account
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brian Hagerman, John Vaughan
Respondent Lawyers(s): Brian Joseph Hagerman, John Joseph Vaughan
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Dismissed by Rule 12601(c) |
| 17-01935 | 09/27/2018 | Claimant(s): Bob Rogers, Bobby and Michelle Rogers Family Trust
Claimant Lawyers(s): Juan C. Castaneda
Respondent(s): Morgan Stanley, Robert Nelson
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Sally G. Williams, Thomas L. Marshall, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
| 13-00824 | 04/16/2015 | Claimant(s): Mark Barmak
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew Sidman
Arbitrator(s): Mark R. Lee, Kenneth Andrew Klinko, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 11-00240 | 07/31/2013 | Claimant(s): Ben Schwartz, Ben I. Schwartz SEP-IRA, Schwartz Commercial Realty Defined Ben
Claimant Lawyers(s): Thomas D. Mauriello, Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): John H. Knight, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 10-05727 | 06/04/2012 | Claimant(s): Donald Brown
Claimant Lawyers(s): Mary C. Scott-Hattendorf
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S Fruin
Arbitrator(s): Thomas Erique DuVoisin, Steven A. Fox, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $622,000 |
| 09-06773 | 03/16/2011 | Claimant(s): Jacqueline Picquelle
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Lawrence Alexander Huerta, John C. Lees, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $45,000 |
| 09-01782 | 11/16/2010 | Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
