| 12-03941 | 10/29/2013 | Claimant(s): Joseph P. Ahern Revocable Trust
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Raymond L. Britton, John K. Boyce, Michael S. Yauch
Hearing Site: Houston, TX
|  | $0 |
| 13-00182 | 10/28/2013 | Claimant(s): Bradley Shull, Kathryn Shull
Claimant Lawyers(s): Bradley Shull
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $0 |
| 12-01859 | 10/16/2013 | Claimant(s): Joan Teachworth, Walter Teachworth
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management,
Respondent Lawyers(s): Michael West
Arbitrator(s): Mary Ann Tunick, Thomas A. Cipolla, Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 12-01933 | 09/09/2013 | Claimant(s): Barbara Berger Revocable Trust
Claimant Lawyers(s): Charles E. Scarlett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barth Satuloff, Howard Bernstein, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02712 | 08/21/2013 | Claimant(s): Gaylord Sahara
Claimant Lawyers(s): Gaylord Sahara
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Walter P. Hitchcock, James N. D'Orso, Paul D. Allen
Hearing Site: Honolulu, HI
| | $0 |
| 12-04136 | 08/13/2013 | Claimant(s): Jack Mac Phail Roth IRA, Jack Mac Phail Traditional IRA, Jack Mac Phail Trust Account
Claimant Lawyers(s): Jack Mac Phail
Respondent(s): Charles Schwab & Co.., Robert Tyer, Stephanie Spicer
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | $0 |
| 11-00240 | 07/31/2013 | Claimant(s): Ben Schwartz, Ben I. Schwartz SEP-IRA, Schwartz Commercial Realty Defined Ben
Claimant Lawyers(s): Thomas D. Mauriello, Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): John H. Knight, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 12-03918 | 06/27/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Allison Ember, Daniel Ember UILUTMA, Michael Ember UILUTMA, G. Howard and Patricia R. Ember JTTEN
Respondent Lawyers(s): G. Howard Ember
Arbitrator(s): Phillips M. Montross, Michael Howard Rosenbloom, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Expungement |
| 09-06998 | 06/18/2013 | Claimant(s): Burton Langer
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Charles Schwab & Co.., Matthew Weitzman
Respondent Lawyers(s): Frank J. Cuccio, Matthew Weitzman
Arbitrator(s): Mark Mendley, Michael Peter Yahr, Michael S. Lazan
Hearing Site: New York, NY
| | $2,750,000 |
| 11-03575 | 06/03/2013 | Claimant(s): Torrey Pines Securities.
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Adam Schwartz, Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey
Hearing Site: Los Angeles, CA
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