| 15-03389 | 10/07/2016 | Claimant(s): Stephens Associates Trust
Claimant Lawyers(s): Richard Ohendalski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
|  | $0 |
| 15-00081 | 10/13/2015 | Claimant(s): Julian Osterneck
Claimant Lawyers(s): Julian Osterneck
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $58,563 |
| 13-03428 | 02/27/2015 | Claimant(s): DeVonna Murrin
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
| 12-02712 | 08/21/2013 | Claimant(s): Gaylord Sahara
Claimant Lawyers(s): Gaylord Sahara
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Walter P. Hitchcock, James N. D'Orso, Paul D. Allen
Hearing Site: Honolulu, HI
| | $0 |
| 12-02996 | 05/20/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen S. Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 12-02549 | 03/26/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 10-04834 | 07/05/2012 | Claimant(s): Tushar Patel
Claimant Lawyers(s): Elisa M. Pollard
Respondent(s): optionsXpress.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Arnold M. Marrow, Evalyn Lipton Fishbein, Christine R. Fitzgerald
Hearing Site: Providence, RI
| | $0 |
| 10-05061 | 12/27/2011 | Claimant(s): Estate of Nancy S. Nethercutt
Claimant Lawyers(s): Ryan M. Beaudoin
Respondent(s): Craig Wessels, Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Elwood C. Avery, Imants J. Leskinovitch
Hearing Site: Seattle, WA
| | Expungement |
| 10-02592 | 09/27/2011 | Claimant(s): June Shore, June F. Shore IRA FBO June F. Shore, The June F. Shore Living Trust
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Gary Gardner, Life Wealth Advisors.
Respondent Lawyers(s): Alan W. Sparer, Kevin H. Lewis
Arbitrator(s): William Ziering, Thomas C. McNally, John B. Weingart
Hearing Site: San Francisco, CA
| | Stipulated Award |
