| 09-02939 | 01/07/2011 | Claimant(s): Roger Maurer, Shay Lindemann, Maurer and Associates Capital Management
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Dennis R. Frohlich, Jerome C. Zackroff, Leonard M. Goldstein
Hearing Site: Denver, CO
|  | Expungement |
| 09-04866 | 01/07/2011 | Claimant(s): Patrick J. Rohan., Diane E. Rohan Profit Sharing Plan U/A, Patrick J. Rohan Pension Plan U/A dtd 3/, Patrick J. Rohan & Diane E. Rohan Trust, Patrick J. Rohan Trust
Claimant Lawyers(s): Christopher T. Vernon, Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Doris V. Knotter, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Expungement |
| 08-04257 | 12/27/2010 | Claimant(s): Lawrence Orlick, Orlick-Donovan Family Trust
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00987 | 12/20/2010 | Claimant(s): Marianne Iamele
Claimant Lawyers(s): Merritt N. Spencer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Richard F. Dole, Maurice J. Fallas, Danielle L. Hargrove
Hearing Site: Houston, TX
| | $65,686 |
| 10-02329 | 12/17/2010 | Claimant(s): Cynthia Keogh, Michael Palmisano, Cynthia Palmisano IRA, Michael Palmisano IRA, Michael and Cynthia Palmsiano, Hilma Rossdahl Trust, Martha Rossdahl Trust
Claimant Lawyers(s): Michael Palmisano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | $338 |
| 10-02953 | 12/16/2010 | Claimant(s): Donald Englehart
Claimant Lawyers(s): Donald Joseph Englehart
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): W. Sean Kelleher
Hearing Site: Cleveland, OH
| | $2,324 |
| 10-00267 | 12/08/2010 | Claimant(s): Gary Maag
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Michael T. West
Arbitrator(s): David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03578 | 11/30/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Douglas Kuhlman
Respondent Lawyers(s): Robert D. Kehoe
Arbitrator(s): Mitchell B. Goldberg, Mark L. Ferris, Dieter Domanovic
Hearing Site: Cleveland, OH
| | |
| 09-00387 | 11/24/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Trevor Templar
Respondent Lawyers(s): Trevor Rodrigues Templar
Arbitrator(s): Dean J. Dietrich, Stanford G. Hirata, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 09-06878 | 11/17/2010 | Claimant(s): Bruce Firestone
Claimant Lawyers(s): Bruce M. Firestone
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Kimon Peter Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | Expungement |
