| 11-01251 | 02/28/2012 | Claimant(s): Gilbert H. Quintana, IRA, Roth IRA, Jerry H. Quintana IRA, Jose Biterbo & Zulema Quintana Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven Meyrich
Hearing Site: Albuquerque, NM
|  | Expungement |
| 10-04713 | 02/10/2012 | Claimant(s): Brent Allan, Deborah Allan, Corey France Custodial, Lawrence R. Allan Custodial, Brent R. Allan IRA, Deborah B. Allan IRA, Brent Allan and Deborah Allan JTWROS, Allan Limited Partnership, Alln Family Limited Partnership, Alln Limited Partnership FBO Children, B & B Irrevocable Trust UAD 3/21/99
Claimant Lawyers(s): Michael J. Frazelle
Respondent(s): Allan Flader, Brian Flader, UBS Financial Services Inc., RBC Dain Rauscher.
Respondent Lawyers(s): Jennifer L. Meeker, Michael M. Gless, Michael Pysno
Arbitrator(s): George N. Roy, Joe S. Tarrer, Paul T. Sachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-03270 | 10/19/2011 | Claimant(s): Swedelson & Gottlieb Cash Balance Plan
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Mitchell Pindus, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Audrey H. Ruben, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $10,000 |
| 08-03982 | 05/18/2010 | Claimant(s): Bradford Kohlenberg, Virginia Lake Townhouses, Bradford Kohlenberg Qualif. Dispos. Trus
Claimant Lawyers(s): Mark T. Drooks
Respondent(s): RBC Capital Markets LLC, Stan Dreyfuss
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Michael D. Harrison, Edward A. Trabin, Gerald C. Tambe
Hearing Site: Los Angeles, CA
| | $340,000 |
| 08-03424 | 01/22/2010 | Claimant(s): Ronald Pelley
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): John B. Wells, Elizabeth A. Copley, Glen W. Hanne
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02417 | 09/11/2009 | Claimant(s): Victor Chang, Victor Chang IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Richard J. Stall, Robert B. Moran, Grace L. Heyne
Hearing Site: Los Angeles, CA
| | $88,470 |
| 08-02307 | 09/09/2009 | Claimant(s): Elsie Kelly, Raymond Kelly, Raymond O's Kelly & Elsie M. Ke U/A dtd, Raymond O's Kelly Rev Liv Trust U/A dtd
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Paul H. Lamboley, Barry A. Mainardi, Darryl J. Horowitt
Hearing Site: Reno, NV
| | $100,080 |
| 08-01846 | 06/01/2009 | Claimant(s): Janet Laird
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Ernest L. Burnside, George L. Tindall, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 04-00980 | 02/26/2009 | Claimant(s): Allen Paulson Living Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Lester G. Stiel, Robert W. Vernon, Lisa M. Roth
Hearing Site: San Diego, CA
| | $800,000 |
