| 12-01933 | 09/09/2013 | Claimant(s): Barbara Berger Revocable Trust
Claimant Lawyers(s): Charles E. Scarlett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barth Satuloff, Howard Bernstein, Robert G. Geeseman
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-03532 | 05/29/2013 | Claimant(s): Leroy Martinez
Claimant Lawyers(s): Leroy Martinez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Albuquerque, NM
| | $0 |
| 12-01383 | 05/17/2013 | Claimant(s): Harvest & Rowe. Retirement Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Allison Rowe, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela, Brett A. Alcala
Arbitrator(s): Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $17,384 |
| 12-02310 | 04/25/2013 | Claimant(s): Christopher Hopkins
Claimant Lawyers(s): Marianna Cline
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Frank Samuelsohn, James F. Carlson, Evonne A. Hurst
Hearing Site: Milwaukee, WI
| | |
| 11-03020 | 04/10/2013 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Optionsxpress., USAA Investment Management Company
Respondent Lawyers(s): Anthony L. Valenzuela, Theodore C. Schultz
Arbitrator(s): William I. Carmen, Jeffrey L. Frankel, Frank Sanclemente
Hearing Site: Boston, MA
| | $0 |
| 12-01058 | 03/21/2013 | Claimant(s): Richard Klein
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Erin Gibbons, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Ann Pinciss Berman, Martin A. Edelstein, Andrew J. Gerber
Hearing Site: New York, NY
| | $0 |
| 12-02750 | 01/03/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Anthony L. Valenzuela
Respondent(s): Thomas Libby
Respondent Lawyers(s): Thomas L. Libby
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | $0 |
| 09-03359 | 06/05/2012 | Claimant(s): Shirley Manos, Tom Manos, The Manos Family Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Merkel, Karen D. Hanson, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $0 |
| 10-00638 | 03/12/2012 | Claimant(s): The Sunrise Trust
Claimant Lawyers(s): Susan King
Respondent(s): Morgan Stanley & Co., Timothy McElroy
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alan J. Duncan, Joe S. Tarrer, James H. McAvoy
Hearing Site: Las Vegas, NV
| | $0 |
| 09-03872 | 02/15/2011 | Claimant(s): Magaly Thrasher, Sean R. Burns UTMA/CA, Jerold & Magaly Thrasher Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Bruce Hallenbeck, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barbara M. Zak, Elizabeth A. Copley, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $105,000 |
