10-05528 | 02/28/2012 | Claimant(s): Corrado Federico 2005 Restated Revocable Claimant Lawyers(s): Cary S. Lapidus Respondent(s): Stone & Youngberg LLC Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Peter H. Daly, Arocles Aguilar, Alden Sharp Adkins Hearing Site: San Francisco, CA
| | $0 |
10-02745 | 09/22/2011 | Claimant(s): Ingrid Scolet, Joe Scolet, Services on the Move Claimant Lawyers(s): Christopher P. Porter Respondent(s): Edward Jones Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Richard J. Lawrence, Harry L. Striplin, Nina Vallion Hearing Site: Boise, ID
| | Expungement |
09-02399 | 03/16/2011 | Claimant(s): David Licht, Emanuel Licht Claimant Lawyers(s): Hartley T. Bernstein Respondent(s): Glenn Krause, Kimon Daifotis, Charles Schwab & Co.. Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Louis H. Miron, Linda T. Pellegrino, Richard W Reilly Hearing Site: Newark, NJ
| | Expungement |
08-05016 | 01/03/2011 | Claimant(s): Family Bypass Trust of the Gordon Family, Gordon Investment Trust, Surviving Spouse's Trust Claimant Lawyers(s): Scott Shapiro, Steve Buchwalter Respondent(s): Grace Stclair, PFS Investments Inc., Primerica Financial Services, The Travelers Life and Annuity Company Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Kenneth I. Rosenblum, Melvin S. Feldman, Robert Dean McKinley Hearing Site: Los Angeles, CA
| | $477,867 |
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 |
08-03174 | 11/05/2010 | Claimant(s): Leon Kaplan Claimant Lawyers(s): Cary S. Lapidus Respondent(s): David Lowi, Jeffrey Green, William Evans, III, Stone & Youngberg LLC Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Donald S. Green, James S. Martin, Stephen A. Field Hearing Site: San Francisco, CA
| | Expungement |
09-04331 | 09/28/2010 | Claimant(s): Helen Oathout, Joan Burdick, Peggy Armstrong Claimant Lawyers(s): William Bankston Respondent(s): Charles Schwab & Co.., Charles Schwab Corporation, Charles Schwab Financial Services Group, Charles Schwab Investment Management, In, Schwab Investments. Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Alexander H. Slivka, William J. Bender, Nancy J. Highness Hearing Site: Anchorage, AK
| | $75,000 |
09-00203 | 09/14/2010 | Claimant(s): Maureen Graf, Robert Bulchis Claimant Lawyers(s): Tanya Sacks Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Ralph A. Cotton, James N. D'Orso, Mark Aaron Jones Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
09-03470 | 04/21/2010 | Claimant(s): Honolulu Professional SVCS LTD U/A Claimant Lawyers(s): Margery S. Bronster Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Frank R Weaver, Carol M. Egan, Theodore G. Ray Hearing Site: Honolulu, HI
| | $45,000 |
08-01841 | 11/11/2009 | Claimant(s): Hilda Applbaum, Isaac Applbaum, The Applbaum Family Trust UAD 6/1/93 Claimant Lawyers(s): Robert A. Uhl Respondent(s): Stone & Youngberg LLC Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Nicholas J. Caputo, David R. Finch, Cheryl R. Kershner Hearing Site: San Francisco, CA
| | $0 |