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FINRA Awards for RBC Wealth Management

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0186309/08/2017Claimant(s): Hazel Kitzman, Estate of Hazel L. Kitzman, Separate Property Trust dated April 28,
Claimant Lawyers(s): Robert M. Caietti
Respondent(s): John Folsom, RBC Capital Markets LLC, Matthew Sweeney, RBC Wealth Management
Respondent Lawyers(s): H. Mark Mersel, Kamao Shaw, W. Perry Brandt
Arbitrator(s): Deanna J. Johnson, Sally G. Williams, Thomas Mitchell Rhodes
Hearing Site: San Diego, CA
Checkmark Icon$212,000
12-0410405/20/2014Claimant(s): William Ey
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Brian Allen, RBC Wealth Management
Respondent Lawyers(s): Brian Joseph Allen, Dennis C. Dice
Arbitrator(s): Alan J. Blocher, Kathleen K. Murphy, William J. Hirsch
Hearing Site: Philadelphia, PA
Checkmark IconExpungement

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