| 13-02319 | 02/17/2015 | Claimant(s): Doreen Torre, Doreen Torre Trust
Claimant Lawyers(s): Doreen Torre
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Thomas R. Carlsen, Ellen I. Siegman, Wendi Blake
Hearing Site: Tampa, FL
|  | $0 |
| 08-03364 | 02/19/2014 | Claimant(s): David Abbott, James Abbott, Michael Abbott
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Charles Lane, RBC Capital Markets Corporation
Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane
Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $201,240 |
| 12-01404 | 11/15/2013 | Claimant(s): Sharon Gardner-Howder, Sharon E. Gardner-Howder IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01142 | 06/19/2012 | Claimant(s): Greg Skafec
Claimant Lawyers(s): Thomas L. Mason
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Carolyn Guy
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 11-00239 | 02/07/2012 | Claimant(s): Pavonia Investments, SA (Bahamas)
Claimant Lawyers(s): John J. Muldoon
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Bernard A. Becker, Barth Satuloff, Barry David Thorpe
Hearing Site: Miami, FL
| | $0 |
| 10-04264 | 11/30/2011 | Claimant(s): Mark Oslick
Claimant Lawyers(s): Daniel M. Hanifin
Respondent(s): David Zane, Stephen Cordasco, RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-01045 | 10/05/2010 | Claimant(s): Doris A. Minck
Claimant Lawyers(s): Thomas E. Ciotti
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Patrick Howley
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | $213 |
| 09-05195 | 05/13/2010 | Claimant(s): Edward Billig IRA
Claimant Lawyers(s): Edward Billig
Respondent(s): Gregory Iglow, Oppenheimer & Co.., RBC Capital Markets Corporation, Michael Rosenmayer
Respondent Lawyers(s): Abe Lampert, Deborah Dickstein
Arbitrator(s): James H. Frank
Hearing Site: Los Angeles, CA
| | $17,546 |
| 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 |
| 09-01655 | 03/12/2010 | Claimant(s): David Driesen
Claimant Lawyers(s): David M. Driesen
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Frank C. Fogl
Hearing Site: Rochester, NY
| | $7,664 |
