| 11-03478 | 08/09/2012 | Claimant(s): David K. Berg
Claimant Lawyers(s): David K. Berg
Respondent(s): Bari Havlik, Charles Schwab, Charles Schwab & Co.., Paul Okonoski
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
|  | Expungement |
| 11-01561 | 08/06/2012 | Claimant(s): Daniel Hobart, Daniel James Hobart Rollover IRA
Claimant Lawyers(s): Jason D. Doss
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
| | Expungement |
| 09-07132 | 08/02/2012 | Claimant(s): Daniel Violette, Daniel M. Violette IRA Rollover
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Steven Meyrich, Marc H. Schtul, Edward Allan Hindman
Hearing Site: Denver, CO
| | Expungement |
| 12-00050 | 07/20/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Kelly Chapman
Respondent Lawyers(s): Kelly Chapman
Arbitrator(s): Mary Beth Wheeler, Rody P. Biggert, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
| | Expungement |
| 12-00446 | 07/18/2012 | Claimant(s): S. Albert Custodian for Michael Albert, Steven Albert Custodian for Kyle Albert, Steven John Albert, Steven John Albert & Kimberly Rae Albert
Claimant Lawyers(s): Steven J Albert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Reilly
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $425 |
| 11-03751 | 07/10/2012 | Claimant(s): Cassandra Fishbein, Donn Fishbein, Donn Fishbein PSP Part QRP/Keogh
Claimant Lawyers(s): Nicole L. Harrison
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Barbara Black
Hearing Site: Columbus, OH
| | Expungement |
| 10-01220 | 07/02/2012 | Claimant(s): Louis Lazar
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R Wynne
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Wilmington, DE
| | Expungement |
| 11-03123 | 05/24/2012 | Claimant(s): Ann Kautzmann
Claimant Lawyers(s): Ann Kautzmann
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Alan Shaw
Hearing Site: Newark, NJ
| | $0 |
| 10-01978 | 05/04/2012 | Claimant(s): Jessica Andrews-Kunst
Claimant Lawyers(s): Jerry B. Abbott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Jeffrey M. Allen, Ralph L. Jacobson, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | $115,000 |
| 10-02727 | 04/27/2012 | Claimant(s): Damien Moore
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ronald N. Roth, William L. Erwin, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
