| 11-03532 | 05/29/2013 | Claimant(s): Leroy Martinez
Claimant Lawyers(s): Leroy Martinez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Albuquerque, NM
|  | $0 |
| 12-00003 | 05/20/2013 | Claimant(s): Tim Welch
Claimant Lawyers(s): Tim L Welch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne Reilly
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $0 |
| 12-00211 | 05/17/2013 | Claimant(s): John Accardi
Claimant Lawyers(s): John Accardi
Respondent(s): David Hess, Charles Schwab & Co.., Robert Oberlander
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01383 | 05/17/2013 | Claimant(s): Harvest & Rowe. Retirement Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Allison Rowe, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela, Brett A. Alcala
Arbitrator(s): Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $17,384 |
| 12-02310 | 04/25/2013 | Claimant(s): Christopher Hopkins
Claimant Lawyers(s): Marianna Cline
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Frank Samuelsohn, James F. Carlson, Evonne A. Hurst
Hearing Site: Milwaukee, WI
| | |
| 12-01407 | 04/19/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jesse B. Simpson
Respondent(s): Timothy Moran, Private Client
Respondent Lawyers(s): Corporate Officer, Timothy Damien Moran
Arbitrator(s): Eugene R. Nielson, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 12-00957 | 04/12/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Ellen McDonough, Paul McDonough
Respondent Lawyers(s): Ellen McDonough, Paul J. McDonough
Arbitrator(s): James F. Carlson, Donald W. McKenzie, Allan Robert Ettinger
Hearing Site: Chicago, IL
| | Expungement |
| 12-00954 | 03/21/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Suzanne Chen, Golden State Advisors
Respondent Lawyers(s): David H. Schwartz
Arbitrator(s): Alvin L. Fishman, Dean J. Dietrich, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 12-01058 | 03/21/2013 | Claimant(s): Richard Klein
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Erin Gibbons, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Ann Pinciss Berman, Martin A. Edelstein, Andrew J. Gerber
Hearing Site: New York, NY
| | $0 |
| 12-02820 | 02/27/2013 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Robert Rose, Russell Brautigam, Russel D. Brautigam Roth Conv. IRA, Tom L. Poe and Margie Elaine Poe JT TEN, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Randall T. Stack, Patricia Gunn, Ronald A. Isackson
Hearing Site: Tampa, FL
| | Expungement |
