| 14-01758 | 03/09/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Keith Steel, Megan Steel, Anpei Lin, Community Property
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Loyd Paxton Derby, Carlos Richard Mangum, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
| 14-01912 | 12/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ben Schwartz, Simplified Employee Plan,Ben I. Schwartz, Schwartz Commercial Realty Defined Benef
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Peter H. Daly, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 13-02727 | 05/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Brad Baggarly
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Kenneth R. Hyman, June McLaughlin, A. Joel Klein
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00240 | 07/31/2013 | Claimant(s): Ben Schwartz, Ben I. Schwartz SEP-IRA, Schwartz Commercial Realty Defined Ben
Claimant Lawyers(s): Thomas D. Mauriello, Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): John H. Knight, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
|  | Expungement |
| 12-01181 | 04/03/2013 | Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
| 12-02430 | 01/23/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Karl Townsend, Karen Fann Townsend Trust
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Sterling N. Frost, James R. Dickson, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02726 | 01/16/2013 | Claimant(s): Megan Steel, Keith M. Steel and Anpei Lin, Community
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Richard B. Bullock, Jonathan H. Krotinger, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01548 | 11/16/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Daniel J. Lancaster, Jr. IRA
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02880 | 09/25/2012 | Claimant(s): Karl Townsend & Karen F. Townsend Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
