| 16-01441 | 03/08/2017 | Claimant(s): Rhonda Grallnick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Rochelle K. Kaplan, Laura A. Kaster, Gerald S. Smith
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 16-02272 | 03/01/2017 | Claimant(s): Ronald Lee
Claimant Lawyers(s): Lisa Garvin Copeland
Respondent(s): Isadore Schifano, Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02450 | 02/15/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Bruce Johnson
Respondent(s): Javier Rios
Respondent Lawyers(s): Javier Rios
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: San Diego, CA
| | $0 |
| 15-02189 | 12/14/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Jimmy Gonzalez
Respondent Lawyers(s): Jimmy Gonzalez
Arbitrator(s): Christopher J. Klein, Lance A. Harke, Stewart L. Appelrouth
Hearing Site: Miami, FL
| | |
| 16-01537 | 11/03/2016 | Claimant(s): Jospeh Serpente
Claimant Lawyers(s): Gary Schafkopf
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
| | $35 |
| 15-03389 | 10/07/2016 | Claimant(s): Stephens Associates Trust
Claimant Lawyers(s): Richard Ohendalski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | $0 |
| 15-01862 | 10/04/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Geoffrey Beckham
Respondent(s): Armando Cervantes
Respondent Lawyers(s): Armando Cervantes
Arbitrator(s): William Ziering, William P. Bergsten, Paul R. Meyer
Hearing Site: Seattle, WA
| | $0 |
| 14-03372 | 08/30/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): John F. Marsh
Respondent(s): Carolyn Kitzel, J.P. Morgan Securities
Respondent Lawyers(s): Christopher S. Griesmeyer, Jack J. Carriglio
Arbitrator(s): Kevin J. Conway, Michael Steinberg, Deberah Singer Bernstein
Hearing Site: Chicago, IL
| | |
| 15-03386 | 08/25/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Susanna Foels, Amrita Equities, Ridhwan Foundation
Respondent Lawyers(s): Christopher T. Leach
Arbitrator(s): Jerome C. Zackroff, Leonard M. Goldstein, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 16-00638 | 08/12/2016 | Claimant(s): Mark Smalley
Claimant Lawyers(s): Mark Brian Smalley
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Robert E. Anderson, Joseph H. Cerame, Leo J. Karwejna
Hearing Site: Newark, NJ
| | |
