| 17-01956 | 09/28/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Richard Humphreys
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Leslie R. Berro, Patricia Ann Tracey, Susan L. Luck
Hearing Site: Charlotte, NC
| | |
| 16-03422 | 03/08/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David C. Roth
Respondent(s): Joseph Sweeney
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Daniel M. Yamshon, Dean J. Dietrich, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 15-01596 | 09/28/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Amilka Delgado
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): John P. Cullem, Mauricio Arcadier, Margaret R. Hoyt
Hearing Site: Orlando, FL
| | |
| 15-02786 | 04/25/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Curtis Lamb
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): George J. Karlsven, Edward Allan Hindman, Paul A. Cash
Hearing Site: Salt Lake City, UT
| | |
| 13-00784 | 03/04/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
| | |
| 13-01025 | 12/29/2014 | Claimant(s): Ernst Blumenthal
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Lawrence Labine, DeWaay Advisory, Dewaay Financial Network
Respondent Lawyers(s): Alan Baskin, Mark Davis
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
|  | $103,070 |
| 14-01417 | 12/24/2014 | Claimant(s): Donald E. Hoke and Jean N. Hoke Family T
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): R. E. Thompson
Arbitrator(s): Donald W. Diones, James D. Knotter, Charles E. Riggs
Hearing Site: Albuquerque, NM
| | Dismissed by Rule 12206 |
| 12-04087 | 07/30/2014 | Claimant(s): Willie Benning
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Arnold Montano, Cambridge Investment Research Advisors, Cambridge Investment Research., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Sam Y. Edgerton
Arbitrator(s): Patrick J. Halter, Harvey W Gordon, Richard Djokic
Hearing Site: Albuquerque, NM
| | $243,510 |
| 12-02000 | 10/01/2013 | Claimant(s): LaVerne Coalson, Coalson Insurance Trust U/A 7/9/99
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Donny Vogler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rodney J. Heggy
Arbitrator(s): Bill M. Lamoreaux, Linda B. Kelly, Frances Johnson Wright
Hearing Site: Dallas, TX
| | $1,198,440 |
| 07-01216 | 03/22/2010 | Claimant(s): Herbert and Dorthy Thiry
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Robert Schultz, Scott Magallanes, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Elizabeth Lowery, H Thomas Fehn, Scott Lee Magallanes, Steve Skytte
Arbitrator(s): James B. Vessey, Jonathan H. Larson, Barry H. Barnett
Hearing Site: Albuquerque, NM
| | $135,000 |
