| 10-05712 | 03/06/2012 | Claimant(s): Jack Laskey, Helen D. Laskey I.R.A., Jack R. Laskey I.R.A.
Claimant Lawyers(s): Mark C. Watler
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Ronald R. Simpson, Robert Dan Sherrill, Daniel J. Pagnano
Hearing Site: Houston, TX
|  | $300 |
| 10-05206 | 12/29/2011 | Claimant(s): Priscilla D. Johnson, IRA, William P. Johnson IRA, William P. Johnson & Priscilla D. Johnso
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Michael P. Anciello, Gene M. Bauer, Barry Joseph Fiske
Hearing Site: Boston, MA
| | Expungement |
| 11-02985 | 11/21/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Mark Davidson
Respondent Lawyers(s): Mark Colby Davidson
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 09-06379 | 11/16/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Richard Rothenberg
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David N. Brainin, Kenneth L. Stewart, Catherine I. Gulevich
Hearing Site: New York, NY
| | |
| 10-03097 | 11/11/2011 | Claimant(s): Mel Schonhorst
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): RBC Capital Markets LLC, William Gumbert
Respondent Lawyers(s): Richard A. Rohan
Arbitrator(s): Kenneth D. Bingham, Phillip Lee Scheldt, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | |
| 10-00052 | 11/07/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Ariel Hernandez
Respondent Lawyers(s): Ariel Hernandez
Arbitrator(s): David P. Slater, Jerry A. Desiderio, Harris Gally
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-03270 | 10/19/2011 | Claimant(s): Swedelson & Gottlieb Cash Balance Plan
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Mitchell Pindus, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Audrey H. Ruben, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $10,000 |
| 10-05692 | 10/18/2011 | Claimant(s): Pamela Poole, Pamela H. Poole IRA, Pamela H. Poole Roth IRA
Claimant Lawyers(s): Todd Ratner
Respondent(s): Overton Graham, RBC Capital Markets LLC
Respondent Lawyers(s): James Cosby
Arbitrator(s): William C. Boinest, Stuart H. Dunn, Leon Henderson
Hearing Site: Richmond, VA
| | $0 |
| 10-04032 | 09/08/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Vincent Ross
Respondent Lawyers(s): Vincent Ross
Arbitrator(s): David Paul Clark
Hearing Site: Pittsburgh, PA
| | |
| 10-02693 | 08/26/2011 | Claimant(s): David Halter
Claimant Lawyers(s): James W. Halter
Respondent(s): Robert Paretti, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Generelli, Joseph F. Generlli
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
