| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 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 |
| 10-03885 | 06/28/2012 | Claimant(s): Jeffrey Colflesh, Lora Colflesh, Jeffrey Colflesh IRA, Lora Colflesh IRA, Colflesh Trusts
Claimant Lawyers(s): James R. Walsh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stacy Grant
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Jerold R. Babin, Mark R. Topper
Hearing Site: San Francisco, CA
|  | Expungement |
| 09-01190 | 09/15/2010 | Claimant(s): Lynell Miller Jones, IRA Rollover
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jerold R. Babin, Anthony G. Sousa, Shawn Ridgell
Hearing Site: San Francisco, CA
| | $0 |
| 09-04184 | 08/23/2010 | Claimant(s): Derrick Nesbitt
Claimant Lawyers(s): Brian K. Hilliard
Respondent(s): Frankie Ross, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Jerold R. Babin, William W. Haskell, M. Scott Donahey
Hearing Site: San Francisco, CA
| | $0 |
| 08-00527 | 12/21/2009 | Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird
Claimant Lawyers(s): Amanda M. Knudsen
Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin
Hearing Site: San Francisco, CA
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