| 14-01728 | 04/02/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 12-02957 | 06/24/2013 | Claimant(s): Helen Hall
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
|  | $11,657 |
| 12-02820 | 02/27/2013 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Robert Rose, Russell Brautigam, Russel D. Brautigam Roth Conv. IRA, Tom L. Poe and Margie Elaine Poe JT TEN, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Randall T. Stack, Patricia Gunn, Ronald A. Isackson
Hearing Site: Tampa, FL
| | Expungement |
| 12-01483 | 12/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 12-01670 | 11/27/2012 | Claimant(s): Kimon Peter Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ashley Nobili UFLUTMA, Corinne Nobili UFLUTMA, Raul Nobili Trust U/A dtd 11/02/99
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Sterling N. Frost, James R. Dickson, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Expungement |
| 12-00461 | 11/06/2012 | Claimant(s): James E. Wilks and Pamela R. Wilks, JT
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Richmond, VA
| | $0 |
| 12-01677 | 10/19/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03187 | 03/14/2012 | Claimant(s): Treichel Joint Revocable Trust
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Theodore L. Leeb
Hearing Site: Milwaukee, WI
| | $46,972 |
| 10-05133 | 04/11/2011 | Claimant(s): Theodore R. Booher Living Trust
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Donald G. Kennedy
Hearing Site: Orlando, FL
| | $38,650 |
| 08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
