| 21-03029 | 04/19/2022 | Claimant(s): Egidio Mogavero
Claimant Lawyers(s): Egidio Gil Mogavero
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David J. Romanski
Hearing Site: San Francisco, CA
|  | $0 |
| 20-00386 | 04/13/2022 | Claimant(s): Jake Phillips, Rebecca Slavin-Phillips
Claimant Lawyers(s): Jake Phillips
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): Guillermo L. Bosch, Gail Marie Noel, M. Melvin Shralow
Hearing Site: Philadelphia, PA
| | Expungement |
| 21-01181 | 04/11/2022 | Claimant(s): Chad Durrance, Leslie Durrance
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): James R. Augustine, Jacquelyn M. Shannon, Philip L. Manczak
Hearing Site: Tampa, FL
| | $214,640 |
| 19-01455 | 04/06/2022 | Claimant(s): James Novak
Claimant Lawyers(s): Terry J. Kirwan
Respondent(s): Charles Schwab & Co.., Herbert Reilly, HFR Investment Advisory Services
Respondent Lawyers(s): David G. Burch, Kevin H. Lewis
Arbitrator(s): Patrick M. Markey, Denise L. Presley, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA
Claimant Lawyers(s): Mark C. Santi
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe
Hearing Site: Seattle, WA
| | $0 |
| 21-01805 | 03/21/2022 | Claimant(s): George Gammill
Claimant Lawyers(s): Kenneth H. Looney
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Amanda Saykes
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
| | $9,975 |
| 21-01996 | 03/17/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Maria Esparza
Respondent Lawyers(s): Maria Esparza
Arbitrator(s): Sheila Grinell, Roger A. Geddes, Glenn Allen Baker
Hearing Site: Phoenix, AZ
| | $0 |
| 21-00534 | 03/16/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Louis
Respondent Lawyers(s): Richard Pierre Louis
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
| | $0 |
| 20-00235 | 03/14/2022 | Claimant(s): Cara Thomas
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Stuart K. Furman, Mildred Dorta, Mary Ann Etzler
Hearing Site: Orlando, FL
| | |
| 21-02392 | 03/14/2022 | Claimant(s): Bizhan Sheikholeslami
Claimant Lawyers(s): Bizhan Zia Sheikholeslami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Terry F Peppard
Hearing Site: Milwaukee, WI
| | $163 |
