| 11-02789 | 03/26/2012 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Jeremy Mosbaugh, Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Hilda H. Boas
Hearing Site: New York, NY
|  | $10,385 |
| 09-06438 | 03/16/2012 | Claimant(s): Nathan Friedlander, Nathan Friedlander & Joan Friedlander, Harris Friedlander Trust U/A DTD 7/25/89
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): R. Lee Britton Jr., Cynthia Lee Traina, Constance K. Barron
Hearing Site: New Orleans, LA
| | Expungement |
| 09-05757 | 03/14/2012 | Claimant(s): Paul McDonough & Ellen McDonough, JT TEN
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Susan K. Franz, Mark L Miller, Richard R. Bicek
Hearing Site: Chicago, IL
| | Expungement |
| 11-03187 | 03/14/2012 | Claimant(s): Treichel Joint Revocable Trust
Claimant Lawyers(s): Thomas F. Shine
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Theodore L. Leeb
Hearing Site: Milwaukee, WI
| | $46,972 |
| 11-01251 | 02/28/2012 | Claimant(s): Gilbert H. Quintana, IRA, Roth IRA, Jerry H. Quintana IRA, Jose Biterbo & Zulema Quintana Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven Meyrich
Hearing Site: Albuquerque, NM
| | Expungement |
| 11-03185 | 02/22/2012 | Claimant(s): Irene Gilmore
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $425 |
| 09-05950 | 02/14/2012 | Claimant(s): Robert Rose, Russell Brautigam, Tom L. Poe and Margie Elaine Poe, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): Paul L. Matecki, William F. Glaser, Horace A. Andrews
Hearing Site: Tampa, FL
| | Expungement |
| 11-00190 | 02/14/2012 | Claimant(s): Brenda Proeschel, James Proeschel
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael Gless
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | Expungement |
| 11-00948 | 02/08/2012 | Claimant(s): Robert Vaudry
Claimant Lawyers(s): Robert Vaudry
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Robert Pincus, Jettie K. Thomas, Joan Seewald Brodsky
Hearing Site: New York, NY
| | $0 |
| 10-05129 | 02/03/2012 | Claimant(s): Steven Firestone, Steven N. Firestone UTA Charles Schwab &, Steven N. Firestone, MD Charles Schwab &
Claimant Lawyers(s): Steven N. Firestone
Respondent(s): Alfonso Portillo, Bari Havlik, Carrie Dwyer, Catherine Macgregor, Cathy Sabo, Charles Schwab, Evelyn Dilsaver, George Pereira, Jan Hier-King, Jeffrey Mortimer, Joseph Martinetto, Kenneth Salinger, Kimon Peter Daifotis, Koji Felton, Charles Schwab & Co.., Matthew Hastings, Michael Haydel, Randall Fillmore, Randall Merk, Ronald Carter, et al
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Benjamin F. Breslauer, Robert Dean McKinley, John R Sustersic
Hearing Site: Los Angeles, CA
| | Expungement |
