| 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 |
| 10-02831 | 05/13/2011 | Claimant(s): Richard Schreiber, Richard E. Schreiber IRA, Richard E. Schreiber Retirement Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): David J. Anderson, Annette Gres Shepherd, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-05226 | 07/26/2010 | Claimant(s): Gieseking Family Trust Dated 10/03/02
Claimant Lawyers(s): Navid Yadegar
Respondent(s): Charles Schwab & Co.., The Charles Schwab Corporation
Respondent Lawyers(s): Michelle Fron
Arbitrator(s): William M. Howard, George N. Roy, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | Expungement |
| 08-01973 | 04/27/2010 | Claimant(s): The Minette B. Fisher Family Trust, The Nanette L. Fisher Family Trust, The Roe Green Foundation, The Roe Green Trust
Claimant Lawyers(s): James F. Koehler
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Robert Lewandowski, Roger Baranovic, Schwab Investments, The Charles Schwab Corporation
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ellen Holland Keller, Kathleen P. Helbig-Hannan, Harold Dean Tolbert
Hearing Site: Cleveland, OH
| | $310,074 |
| 08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs
Hearing Site: San Diego, CA
| | $327,245 |
| 09-01081 | 09/01/2009 | Claimant(s): William Formon and Kimberly A. Formon
Claimant Lawyers(s): William Formon
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Charles Schwab Investment Management, Schwab Investments., The Charles Schwab Corporation
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $11,555 |
