| 10-00168 | 11/11/2011 | Claimant(s): Chris Williams, David Beecham, Deborah Williams, Jerry Davidson, Jessie Beecham, Kathleen Davidson, Class Action Watch, David Beecham IRA, Jessie Beecham IRA, Davidson Family Trust UADTD 10.27.1979, Williams Family Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Helen Marinak Blohm, Gary A. Hooker, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
|  | Expungement |
| 11-00280 | 09/27/2011 | Claimant(s): Robert Blakey
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $213 |
| 09-02892 | 02/18/2011 | Claimant(s): Keith Cohn, Keith Cohn Rollover IRA Trust
Claimant Lawyers(s): Philip Borowsky
Respondent(s): AllianceBernstein L.P., Sanford C. Bernstein & Co., LC
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Alvin L. Fishman, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $553,333 |
| 09-02584 | 12/14/2010 | Claimant(s): Kay Family Revocable Trust dd 2/7/90
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Robert M. Greber
Hearing Site: San Francisco, CA
| | $750,000 |
