| 10-00558 | 01/13/2011 | Claimant(s): Antoinette Guenther, Antoinette S. Guenther Revocable Trust
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Richard Schilffarth, RBC Capital Markets LLC, B. C. Ziegler and Company
Respondent Lawyers(s): Carolyn Guy, Jonathan W. Hackbarth, Nancy L. Hendrickson
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
|  | $0 |
| 09-06704 | 07/27/2010 | Claimant(s): Beja Finance International
Claimant Lawyers(s): Robert L. Schenk
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Mark D. Quinn, Todd M. Saunders, Barry David Thorpe
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 08-03982 | 05/18/2010 | Claimant(s): Bradford Kohlenberg, Virginia Lake Townhouses, Bradford Kohlenberg Qualif. Dispos. Trus
Claimant Lawyers(s): Mark T. Drooks
Respondent(s): RBC Capital Markets LLC, Stan Dreyfuss
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Michael D. Harrison, Edward A. Trabin, Gerald C. Tambe
Hearing Site: Los Angeles, CA
| | $340,000 |
| 08-05012 | 02/24/2010 | Claimant(s): Mary Morlas, Mary Morlas IRA, Mary R. Morlas Trust
Claimant Lawyers(s): Elizabeth A. Lowery
Respondent(s): Christopher Kennedy, John Kennedy, Robert Weaver, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): William J. Adams
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03315 | 01/21/2010 | Claimant(s): Sandra Vincent
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): Richard Fishbach, Ferris, Baker Watts, RBC Capital Markets LLC
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 09-03249 | 12/21/2009 | Claimant(s): Felton A. Ferrini Living Trust
Claimant Lawyers(s): Roger B. Frederickson
Respondent(s): Harry Fischer, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Amy Seltzer
Hearing Site: San Francisco, CA
| | Expungement |
| 09-01554 | 12/07/2009 | Claimant(s): Philip and Sara Linwick Comm. Property
Claimant Lawyers(s): Andrew J. Kinstler
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David L. Young
Arbitrator(s): William W. Anderson, Melvyn Jay Simburg, Roy J. Moceri
Hearing Site: Seattle, WA
| | $40,225 |
