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    • Thomas F. Shine

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    Verdicts & Settlements
    Case Name Topic Role Published
    Charles Schwab & Co. Inc. and Kimon P. Daifotis v. Russell D. Brautigam, Russel D. Brautigam Roth Conv. IRA, Andrew M. Clark Designated Beneficiary Plan/TOD, Courtney A. Jay Designated Beneficiary Plan/TOD, Kendal Capaz, Renee Hartmann, Courtney King, Tom L. Poe, Margie Elaine Poe JT TEN, and Robert C. Rose Securities Respondent Mar. 16, 2013
    Charles Schwab & Co., Inc. v. Nathan Friedlander, as Joint Tenant With Joan Friedlander, as Beneficiary of the Nathan Phillip Friedlander SEP-IRA, and as Officer of the Corporate Trustee (Big Swell, Inc. f/k/a Tovar, Inc.) of the Harris Friedlander Trust U/A DTD 07/25/1989, and Joan Friedlander, as Joint Tenant With Nathan Friedlander Securities Respondent Jan. 12, 2013
    James E. Wilks, Pamela R. Wilks, JT TEN v. Charles Schwab & Co. Inc. Securities Claimant Dec. 1, 2012
    Charles Schwab & Co. Inc. and Kimon Peter Daifotis v. Don C. Miller, Donald C. Miller Charles Schwab & Co. Inc. Cust IRA Rollover, and Donald C. Miller Charles Schwab & Co. Inc.,Cust Roth Contributory IRA Securities Respondent Nov. 10, 2012
    D Vollstedt & S Vollstedt TTEE, Steve or Deborah Vollstedt Tru U/A DTD 02/12/2004, Deborah Vollstedt and Steve A. Vollstedt v. Charies Schwab & Co. Inc. Securities Claimant Oct. 1, 2011
    Theodore Booher and Dianne Booher, as Trustees of the Theodore R. Booher Living Trust U/A dated 3/25/2002 v. Charles Schwab & Co. Inc. Contracts Claimant May 14, 2011
    Patrick J. Rohan Trust, et al. v. Charles Schwab & Co. Inc.; Kimon P. Daifotis Securities Claimant Feb. 5, 2011
    Case Name Topic Role Published
    Charles Schwab & Co. Inc. and Kimon P. Daifotis v. Russell D. Brautigam, Russel D. Brautigam Roth Conv. IRA, Andrew M. Clark Designated Beneficiary Plan/TOD, Courtney A. Jay Designated Beneficiary Plan/TOD, Kendal Capaz, Renee Hartmann, Courtney King, Tom L. Poe, Margie Elaine Poe JT TEN, and Robert C. Rose Securities Respondent Mar. 16, 2013
    Charles Schwab & Co., Inc. v. Nathan Friedlander, as Joint Tenant With Joan Friedlander, as Beneficiary of the Nathan Phillip Friedlander SEP-IRA, and as Officer of the Corporate Trustee (Big Swell, Inc. f/k/a Tovar, Inc.) of the Harris Friedlander Trust U/A DTD 07/25/1989, and Joan Friedlander, as Joint Tenant With Nathan Friedlander Securities Respondent Jan. 12, 2013
    James E. Wilks, Pamela R. Wilks, JT TEN v. Charles Schwab & Co. Inc. Securities Claimant Dec. 1, 2012
    Charles Schwab & Co. Inc. and Kimon Peter Daifotis v. Don C. Miller, Donald C. Miller Charles Schwab & Co. Inc. Cust IRA Rollover, and Donald C. Miller Charles Schwab & Co. Inc.,Cust Roth Contributory IRA Securities Respondent Nov. 10, 2012
    D Vollstedt & S Vollstedt TTEE, Steve or Deborah Vollstedt Tru U/A DTD 02/12/2004, Deborah Vollstedt and Steve A. Vollstedt v. Charies Schwab & Co. Inc. Securities Claimant Oct. 1, 2011
    Theodore Booher and Dianne Booher, as Trustees of the Theodore R. Booher Living Trust U/A dated 3/25/2002 v. Charles Schwab & Co. Inc. Contracts Claimant May 14, 2011
    Patrick J. Rohan Trust, et al. v. Charles Schwab & Co. Inc.; Kimon P. Daifotis Securities Claimant Feb. 5, 2011
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