| 11-04057 | 02/07/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Beatrice Cheah
Arbitrator(s): Renan I. Sugarman, Dennis Roger Ahlm, Laura Kate Wennik
Hearing Site: Minneapolis, MN
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| 13-00759 | 12/12/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Anthony Wall
Respondent Lawyers(s): Anthony A. Wall
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 12-02576 | 12/02/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Mark L. Johansen
Respondent(s): Kelly Rigas
Respondent Lawyers(s): R. Rogge Dunn
Arbitrator(s): Keith L. Saunders, Edward J. Lynch, Joseph Neal Richardson
Hearing Site: Dallas, TX
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| 13-00144 | 11/22/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Thomas Hand
Respondent Lawyers(s): Thomas Alexander Hand
Arbitrator(s): Kevin J Mulrey, Jeffrey P. Petrucelly, Arthur Thomas Carr
Hearing Site: Boston, MA
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| 12-02222 | 08/08/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Jerry Nichols
Respondent Lawyers(s): Jerry Lee Nichols
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
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| 12-01501 | 05/29/2013 | Claimant(s): Stan Dreyfuss
Claimant Lawyers(s): Leonard Steiner
Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher.
Respondent Lawyers(s): Linda Claxton
Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 12-03123 | 02/06/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Brian Allen
Respondent Lawyers(s): Brian Allen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 11-03951 | 11/28/2012 | Claimant(s): Steven Schneiderman
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): Burton Street, RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Donald W. McKenzie, Harry Edward Resis, Michael Cotter Greenfield
Hearing Site: Chicago, IL
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| 12-00103 | 11/16/2012 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Emmett Johnson
Respondent Lawyers(s): Frank "Kim" Breese, III
Arbitrator(s): Bertrand C. Moser, Charles E. Munson, Leslie Bernard Jallans
Hearing Site: Houston, TX
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| 11-00140 | 08/28/2012 | Claimant(s): Donald Adkins
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Michael E. Olney, Gary W. Sherbell, Walter Michael Mathews
Hearing Site: New York, NY
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