| 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 |
| 13-00784 | 03/04/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
| | |
| 13-03428 | 02/27/2015 | Claimant(s): DeVonna Murrin
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
|  | $0 |
| 13-02591 | 02/13/2015 | Claimant(s): Anthony Fox, Susan Fox
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Warner, Roy J. Moceri, Ann Sattler
Hearing Site: Seattle, WA
| | Expungement |
| 13-00518 | 01/26/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): David Hanford, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Bernard M. Levine, Michael L. Moran, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 14-00825 | 01/23/2015 | Claimant(s): William Nepute
Claimant Lawyers(s): William R. Nepute
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony I. Valenzuela
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | $42,344 |
| 14-01606 | 12/29/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Jay H. Mintz IRA Rollover, Jay H. Mintz Revocable Trust
Respondent Lawyers(s): William Young
Arbitrator(s): Leonard E. Benade, Timothy J. Wright, Lynne T. Albert
Hearing Site: Raleigh, NC
| | 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 |
| 12-03778 | 12/08/2014 | Claimant(s): Kimberly Bauers
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Charles Schwab & Co.., Richard Rodriguez
Respondent Lawyers(s): Anthony Valenzuela
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | $0 |
| 13-01824 | 11/13/2014 | Claimant(s): George Carson, George R. Carson, DDS,PC Profit Sharing
Claimant Lawyers(s): John G. Crist
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): William J. Bender, Philip Aaron Tymon, Ronald E. Lorentsen
Hearing Site: Helena, MT
| | Expungement |
