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FINRA Awards for RBC Dain Rauscher Inc.

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0150410/02/2008Claimant(s): RBC Dain Rauscher Inc.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Joe Jennings, RBC Capital Markets Corporation
Respondent Lawyers(s): John R. Jacobson, Philip B. Seaton
Arbitrator(s): Thomas L. Maschmeyer, J. Maxwell Williams, Joseph R. Heinz
Hearing Site: Memphis, TN
07-0052003/19/2008Claimant(s): Calvin Smith #37345-004, Errell Heflin- REG# 79150-012, George Eiland- REG# 99770-131, Roger Lunsford- REG# 21241-057
Claimant Lawyers(s): Calvin Smith- REG# 37345-004, Errell Glenn Heflin - REG# 79150-012, George W. Eiland - REG#99770-131, Roger K. Lunsford- REG# 21241-057
Respondent(s): Thomas Leechin, Nations Financial Group., RBC Dain Rauscher Inc.
Respondent Lawyers(s): Bryan Keane, William T. McCartan
Arbitrator(s): Glenn R. Oxner, Laurence M. Scoville, Robert S. Zuckerman
Hearing Site: Columbia, SC
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