| 10-03575 | 02/25/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Abe Lampart
Respondent(s): Larry Galia
Respondent Lawyers(s): Larry Allen Galia
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 09-04996 | 02/18/2011 | Claimant(s): Sidney Small
Claimant Lawyers(s): Seth Huberman
Respondent(s): RBC Capital Markets LLC, Timothy Disparte
Respondent Lawyers(s): Jessica J. Stomski, Kevin S. Besetzny
Arbitrator(s): Jeffrey W. Finke, Brian E. Slotky, Timothy M. Feeney
Hearing Site: Chicago, IL
|  | $0 |
| 09-05236 | 02/09/2011 | Claimant(s): Gilbert Kuta
Claimant Lawyers(s): Patrick G. Finegan
Respondent(s): John Taft, Patrick Vaughan, RBC Capital Markets LLC, Todd Schnell, Walter Crowell
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Paul Davis Pearlstein, Carol Ann Anderson, Simon Zhou Wu
Hearing Site: Washington, DC
| | |
| 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 |
| 09-04007 | 01/03/2011 | Claimant(s): Curtis Hill
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David Commins
Arbitrator(s): Jon A. Bostrom, Jeffrey L. Malek, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 10-01651 | 12/23/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): William Whitehurst
Respondent Lawyers(s): William Whitehurst
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 10-02428 | 12/16/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Sherry Maynard
Respondent Lawyers(s): John L. Einstein
Arbitrator(s): Carol M. Stoner
Hearing Site: Columbus, OH
| | |
| 10-01057 | 11/09/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): David L. Young
Respondent(s): Sally Gray
Respondent Lawyers(s): Sally J. Gray
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 10-00429 | 10/29/2010 | Claimant(s): Estate of Steven Harris
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): J. B. Hanauer & Co., RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Edith M. Novack, Douglas S. Abel, Roland E. Wyatt
Hearing Site: Newark, NJ
| | |
| 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 |
