11-04177 | 07/12/2013 | Claimant(s): Joseph Calabrese Claimant Lawyers(s): Jenny L. Margeson Respondent(s): Phillip Cheney, RBC Capital Markets LLC Respondent Lawyers(s): Joseph Keenan Arbitrator(s): Brian J. Dunn, James Alden Lincoln, Steven S. Manos Hearing Site: Boston, MA
| | Expungement |
12-01789 | 06/26/2013 | Claimant(s): Alan Mintz Claimant Lawyers(s): W. Scott Turnbull Respondent(s): Collin Meyer, RBC Capital Markets LLC Respondent Lawyers(s): Joseph Keenan Arbitrator(s): William W. Bride, Alice J. Johnson, Steven E. Eisenberg Hearing Site: Boca Raton, FL
| | Expungement |
09-04480 | 11/22/2011 | Claimant(s): Jamie Blumenthal, Nancy Blumenthal Claimant Lawyers(s): Bryan T. Forman Respondent(s): Brian Wahlfeld, Don Torrillo, Gordon Hing, Emmett A Larkin Company. Respondent Lawyers(s): David J. Feingold, Joseph Keenan, Nicholas S. Cerni Arbitrator(s): Ann Blaess Kimball, Richard C. Corse, Jeanne Crandall Hearing Site: Dallas, TX
| | Expungement |
10-03839 | 07/20/2011 | Claimant(s): Arthur Manaselian Claimant Lawyers(s): Benajamin Lapin Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Joseph Keenan Arbitrator(s): Kevin J Mulrey, Leon E. Byng, Allen W. Fullerton Hearing Site: Boston, MA
| | $0 |
08-00082 | 05/14/2010 | Claimant(s): Eugene O. Jones and Joy F. Jones Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Charles Slowey, Edward Puttick, Advanced Planning Securities. Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan Arbitrator(s): John J. Meyer, Jerry C. Prestridge, David Walton Earle Hearing Site: New Orleans, LA
| | Stipulated Award |
09-02687 | 05/11/2010 | Claimant(s): Annette Smith, Donald Smith, Annette Smith IRA, Donald L. Smith Individual Retirement Ac, Donald L. Smith SEP Claimant Lawyers(s): William A Jacobson Respondent(s): Alan Cook, RBC Capital Markets Corporation Respondent Lawyers(s): Joseph Keenan Arbitrator(s): David L. Hoffberg Hearing Site: Rochester, NY
| | $14,296 |
08-02854 | 12/31/2009 | Claimant(s): Ava Raphael, Bradley Raphael, Brian Raphael, Brooke Raphael, Irving Raphael Claimant Lawyers(s): James L. Sonneborn Respondent(s): Bruce Sears, Heather Hunt-Ruddy, Joseph O'Connor, RBC Dain Rauscher Respondent Lawyers(s): Joseph Keenan Arbitrator(s): Vincent Micciche, Kathleen Hoey Gorr, Edmund Viele Hearing Site: Rochester, NY
| | $50,000 |
08-03608 | 11/25/2009 | Claimant(s): Cheryl Radey, Frank Radey, Patricia Radley Claimant Lawyers(s): Frank H. Radey Respondent(s): J. B. Hanauer & Co. Respondent Lawyers(s): Joseph Keenan Arbitrator(s): Jim Geiger, Dale A. Pope, Mary L. Sims Hearing Site: Philadelphia, PA
| | $0 |
07-02291 | 09/05/2008 | Claimant(s): Brenda Kinnan, Thomas Kinnan Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Charles Slowey, Advanced Planning Securities. Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan Arbitrator(s): Donald M. Macdonald, W. Patrick Baker, Dorothy Nelson Bryan Hearing Site: New Orleans, LA
| | $406,860 |
06-04655 | 09/17/2007 | Claimant(s): Richard Ford Claimant Lawyers(s): Joseph Keenan Respondent(s): Andrew Samalin, Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Daniel B. Berkson, Leah G. Rabinowitz, Ernesto V. Luzzatto Hearing Site: New York, NY
| | $0 |