| 11-01601 | 02/20/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David W. Erb
Respondent(s): Michael Duprey, Bluemont Capital Advisors
Respondent Lawyers(s): Hannah Berkowitz, Jason W. Gaarder
Arbitrator(s): William H. Malloy, Stephany Adriene Watson, Randy Cepuch
Hearing Site: Washington, DC
| | |
| 11-02375 | 02/20/2013 | Claimant(s): Dorothy Miller, Sam Miller, Dorothy J. Miller IRA, Dr. Sam S. Miller IRA, Ms. Dorothy J. and Dr. Sam S. Miller, Dr. Sam S. Miller Trust, Ms. Dorothy J. Miller Trust
Claimant Lawyers(s): Sylvan S. Lang
Respondent(s): Edwin Fulkerson, Charles Schwab & Co..
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Robert M. Birenbaum, Donald K. Eckhardt, Larry J. Craddock
Hearing Site: Houston, TX
|  | Stipulated Award and Expungement |
| 12-02974 | 02/14/2013 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
| | $0 |
| 12-02430 | 01/23/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Karl Townsend, Karen Fann Townsend Trust
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Sterling N. Frost, James R. Dickson, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02726 | 01/16/2013 | Claimant(s): Megan Steel, Keith M. Steel and Anpei Lin, Community
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Richard B. Bullock, Jonathan H. Krotinger, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02750 | 01/03/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Anthony L. Valenzuela
Respondent(s): Thomas Libby
Respondent Lawyers(s): Thomas L. Libby
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | $0 |
| 11-04596 | 12/20/2012 | Claimant(s): Timothy Tutko
Claimant Lawyers(s): David A. Nold
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Michael R.E. Sanders, Todd A. Bloom, David Gonzalez
Hearing Site: Seattle, WA
| | Expungement |
| 12-01483 | 12/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 11-01992 | 12/17/2012 | Claimant(s): Thomas Meagher
Claimant Lawyers(s): James L. Parks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): David J. Reis
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 11-00754 | 12/04/2012 | Claimant(s): Carole Abom, John Abom
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): Elliot B. Platt, Glenn Lloyd Nobel, Shelley J. Michaels
Hearing Site: Philadelphia, PA
| | Expungement |
