| 12-01425 | 10/07/2013 | Claimant(s): Smith Revocable Trust
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Harvey Alan Blicksilver, Eugene D. Mirabello, Lee Milich
Hearing Site: Miami, FL
|  | Expungement |
| 10-04514 | 03/22/2013 | Claimant(s): James Eastman
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Tracy Gerber
Arbitrator(s): Langfred W. White, Howard L. Hill, Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 09-05757 | 03/14/2012 | Claimant(s): Paul McDonough & Ellen McDonough, JT TEN
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Susan K. Franz, Mark L Miller, Richard R. Bicek
Hearing Site: Chicago, IL
| | Expungement |
| 09-05950 | 02/14/2012 | Claimant(s): Robert Rose, Russell Brautigam, Tom L. Poe and Margie Elaine Poe, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): Paul L. Matecki, William F. Glaser, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 09-04236 | 07/28/2011 | Claimant(s): Donald L. Ames Trust U/A DTD 4/9/82, Mary R. Ames Trust U/A DTD 4/9/82
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Benjamin L. Abramowitz, David C. Matthews, Robert S. Anderson
Hearing Site: Orlando, FL
| | Expungement |
| 09-05758 | 06/30/2011 | Claimant(s): Don Miller, Donald C. Miller Charles Schwab & Co. In
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 09-06016 | 05/18/2011 | Claimant(s): Ashley Nobili UFLUTMA, Corinne Nobili UFLUTMA, Raul Nobili Trust
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Lester M. Rosenberg, James Conrad Sankpill, Louis David Huss
Hearing Site: Miami, FL
| | $0 |
| 09-05737 | 04/15/2011 | Claimant(s): John L. Norris, Vivianne Norris, John L. Norris & Vivianne Norris, JT TEN
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): John F. Allgood
Hearing Site: Birmingham, AL
| | Expungement |
| 09-04866 | 01/07/2011 | Claimant(s): Patrick J. Rohan., Diane E. Rohan Profit Sharing Plan U/A, Patrick J. Rohan Pension Plan U/A dtd 3/, Patrick J. Rohan & Diane E. Rohan Trust, Patrick J. Rohan Trust
Claimant Lawyers(s): Christopher T. Vernon, Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Doris V. Knotter, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Expungement |
| 08-01918 | 09/30/2010 | Claimant(s): Thomas Collins
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Richard W. Thornburg, Harvey Alan Blicksilver, John M. Richey
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
