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FINRA Awards for RBC Capital Markets LLC

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Displaying 131-140 out of 149 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0717003/10/2011Claimant(s): David McIntosh, Terri McIntosh
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Jerry Schuchman, E. William Pastor, Glenn J. Hansen
Hearing Site: Philadelphia, PA
Checkmark Icon$0
10-0357502/25/2011Claimant(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
09-0499602/18/2011Claimant(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
Checkmark Icon$0
09-0523602/09/2011Claimant(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
10-0055801/13/2011Claimant(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
Checkmark Icon$0
09-0400701/03/2011Claimant(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
10-0165112/23/2010Claimant(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
10-0242812/16/2010Claimant(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
10-0105711/09/2010Claimant(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
10-0042910/29/2010Claimant(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

149 Results

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