FINRA Awards for Bari Havlik

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03478	08/09/2012	Claimant(s): David K. Berg Claimant Lawyers(s): David K. Berg Respondent(s): Bari Havlik, Charles Schwab, Charles Schwab & Co.., Paul Okonoski Respondent Lawyers(s): Richard A. Karoly Arbitrator(s): Alfred Brunette Hearing Site: Tampa, FL		Expungement
10-05129	02/03/2012	Claimant(s): Steven Firestone, Steven N. Firestone UTA Charles Schwab &, Steven N. Firestone, MD Charles Schwab & Claimant Lawyers(s): Steven N. Firestone Respondent(s): Alfonso Portillo, Bari Havlik, Carrie Dwyer, Catherine Macgregor, Cathy Sabo, Charles Schwab, Evelyn Dilsaver, George Pereira, Jan Hier-King, Jeffrey Mortimer, Joseph Martinetto, Kenneth Salinger, Kimon Peter Daifotis, Koji Felton, Charles Schwab & Co.., Matthew Hastings, Michael Haydel, Randall Fillmore, Randall Merk, Ronald Carter, et al Respondent Lawyers(s): Stephen Young Arbitrator(s): Benjamin F. Breslauer, Robert Dean McKinley, John R Sustersic Hearing Site: Los Angeles, CA		Expungement