| 11-03478 | 08/09/2012 | Claimant(s): David K. Berg
Claimant Lawyers(s): David K. Berg
Respondent(s): Bari Havlik, Charles Schwab, Charles Schwab & Co.., Paul Okonoski
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
|  | Expungement |
| 11-03185 | 02/22/2012 | Claimant(s): Irene Gilmore
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $425 |
| 11-02228 | 01/20/2012 | Claimant(s): William Brandt
Claimant Lawyers(s): William H. Brandt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael H. McConihe, Robert Charkovsky, Larry E. Ray
Hearing Site: Washington, DC
| | $0 |
| 11-00560 | 12/22/2011 | Claimant(s): John T. Golle
Claimant Lawyers(s): John T Golle
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Douglas G. Plank, Arlen G. Restad, Debra Jean Griebel
Hearing Site: Minneapolis, MN
| | $375 |
| 11-00385 | 06/20/2011 | Claimant(s): Richard Watts and Sally Warner Watts
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
| | $32,925 |
| 10-05133 | 04/11/2011 | Claimant(s): Theodore R. Booher Living Trust
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Donald G. Kennedy
Hearing Site: Orlando, FL
| | $38,650 |
| 10-03998 | 03/15/2011 | Claimant(s): Marshall Rev Living Trust A
Claimant Lawyers(s): William H. Marshall
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | $15,425 |
| 10-03610 | 02/22/2011 | Claimant(s): David Fanella
Claimant Lawyers(s): David Fanella
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $10,425 |
| 09-00387 | 11/24/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Trevor Templar
Respondent Lawyers(s): Trevor Rodrigues Templar
Arbitrator(s): Dean J. Dietrich, Stanford G. Hirata, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 10-02072 | 11/17/2010 | Claimant(s): Fae Gedz, The Fae Gedz Trust Revocable U/A
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $2,925 |
