| 20-03784 | 11/22/2021 | Claimant(s): Tara O'Connor-Roche, Estate of Paul Roche III
Claimant Lawyers(s): Robert Kraus
Respondent(s): Christopher Bayles, RBC Capital Markets LLC
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Jeffrey Alan Helewitz, Patricia Kathleen Costello, Lourdes Gomez
Hearing Site: New York, NY
|  | $0 |
| 20-02078 | 03/26/2021 | Claimant(s): Joanne Gilrain
Claimant Lawyers(s): Joanne C. Gilrain
Respondent(s): Brian Kerwin, RBC Capital Markets LLC
Respondent Lawyers(s): Roxanna V. Gonzalez
Arbitrator(s): Denise L. Quarles
Hearing Site: Jersey City, NJ
| | $163 |
| 18-00497 | 09/16/2019 | Claimant(s): Guity Javid, Negeen Dehesh, Guity Javid Trust, Negeen Dehesh Trust
Claimant Lawyers(s): Grant B. Gelberg
Respondent(s): Aldo Lozano, Mark Panfil, RBC Capital Markets LLC
Respondent Lawyers(s): David Harrison, Michael M. Gless
Arbitrator(s): Edward A. Trabin, Mary M. O'Neil, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02138 | 06/10/2019 | Claimant(s): Esther Ackermann, Pauline Ackermann
Claimant Lawyers(s): Robert Gonser
Respondent(s): Ken Carter, RBC Capital Markets LLC
Respondent Lawyers(s): Donald Davidson, Trent M. Latta
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, G. E. Craig Doupe
Hearing Site: Seattle, WA
| | Expungement |
| 18-03865 | 04/05/2019 | Claimant(s): Sonya Khaleel
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Maggie Goetze
Arbitrator(s): Jack Martin Coe
Hearing Site: Miami, FL
| | $50,600 |
| 17-02768 | 02/07/2019 | Claimant(s): Norman Lipson
Claimant Lawyers(s): Robert J Girard
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Doris V. Knotter, Thomas L. Marshall, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
| 17-01023 | 06/13/2018 | Claimant(s): Leslie Baronian, The Birgitta Baronian Decedent's Trust
Claimant Lawyers(s): Cary S. Lapidus, Nancy C. Field
Respondent(s): Dustin Brown, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart, Michael M. Gless
Arbitrator(s): Carlos Richard Mangum, Minnie Loo, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00647 | 05/25/2018 | Claimant(s): John Barry Glenn, Nancy P. Glenn
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Richard F. Dole, Malcolm Edwin Whittaker, Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 16-00101 | 05/08/2018 | Claimant(s): Carolyn Hunt-Monro
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Ronald G. Guida
Hearing Site: Denver, CO
| | Expungement |
| 16-00188 | 04/05/2018 | Claimant(s): Francine Sorkin Segal
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Catherine Stewart, Robert E. Anderson, Veronica Ann Williams
Hearing Site: Newark, NJ
| | Expungement |
