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FINRA Awards for RBC Capital Markets

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0002301/27/2014Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): RBC Capital Markets
Respondent Lawyers(s): Todd W. Schnell
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
Checkmark IconStipulated Award
10-0564004/05/2012Claimant(s): Nathan Goodman
Claimant Lawyers(s): Nathan D. Goodman
Respondent(s): Scott Wick, RBC Capital Markets
Respondent Lawyers(s): Donald S. Arbour
Arbitrator(s): Gerald D. Wygant, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Helena, MT
Checkmark Icon$0

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