| 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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| 09-06379 | 11/16/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Richard Rothenberg
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David N. Brainin, Kenneth L. Stewart, Catherine I. Gulevich
Hearing Site: New York, NY
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| 10-02428 | 12/16/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Sherry Maynard
Respondent Lawyers(s): John L. Einstein
Arbitrator(s): Carol M. Stoner
Hearing Site: Columbus, OH
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| 07-03102 | 09/24/2009 | Claimant(s): Alberto Roque, Felipe Pazos, Patrick Grattan
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): RBC Dain Rauscher., RBC Capital Markets LLC
Respondent Lawyers(s): Carolyn Guy, Donald S. Arbour
Arbitrator(s): Roy B. Gonas, Norman L. Weiss, Ted Romanos
Hearing Site: Miami, FL
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| 07-03440 | 01/23/2009 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): William Scull
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Lawrence W. Kern, Elton W. Chartrand
Hearing Site: Memphis, TN
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| 07-01504 | 10/02/2008 | Claimant(s): RBC Dain Rauscher Inc.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Joe Jennings, RBC Capital Markets Corporation
Respondent Lawyers(s): John R. Jacobson, Philip B. Seaton
Arbitrator(s): Thomas L. Maschmeyer, J. Maxwell Williams, Joseph R. Heinz
Hearing Site: Memphis, TN
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| 06-02790 | 01/02/2008 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Lynda Findlay
Respondent Lawyers(s): Lynda Ann Findlay-Scott
Arbitrator(s): Cary Allen, George A. Sawyer, David George McCabe
Hearing Site: Memphis, TN
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| 05-04046 | 10/10/2007 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): James Taylor
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Richard L. Oates, E. Steve Scales, Lori Beth Kamen
Hearing Site: Memphis, TN
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