| 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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| 09-00524 | 11/26/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Len Weintraub
Respondent(s): Katherine Traver, RBC Capital Markets Corporation
Respondent Lawyers(s): Eric D. Brandfonbrener
Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman
Hearing Site: Montpelier, VT
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| 08-00826 | 07/27/2009 | Claimant(s): Deborah Pederson
Claimant Lawyers(s): William J. Egan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Joyce G. Gordon, Arthur Richard Tow, Brett W. Olander
Hearing Site: Minneapolis, MN
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| 07-02662 | 05/29/2009 | Claimant(s): Murphy & Durieu
Claimant Lawyers(s): James M. Moriarty
Respondent(s): Cindy Dodeles, David Dodeles, J.P. Morgan Securities, Louis Cesario, RBC Capital Markets Corporation, Hamershlag, Dodeles & Co., Penson Financial Services.
Respondent Lawyers(s): Cindy Dodeles, David S. Richan, Gene L. Small, Ivan Dodeles, Joseph F. Keenan, Louis Cesario
Arbitrator(s): David S. Billet, Robert Pincus, Anthony J. Raimondi
Hearing Site: New York, NY
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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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| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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| 07-02530 | 08/21/2008 | Claimant(s): Rohit Relan
Claimant Lawyers(s): Rohit Relan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Ralph DeSena
Arbitrator(s): Bernard A. Kesselman, Bruce K. Isenberg, Joan M. Traub
Hearing Site: New York, NY
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| 07-03083 | 08/12/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Anthony Russo
Respondent Lawyers(s): Anthony Russo
Arbitrator(s): Larry D. Hayden
Hearing Site: Denver, CO
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| 07-02304 | 03/20/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Gregory Iglow
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers
Hearing Site: Los Angeles, CA
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