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 |
08-03982 | 05/18/2010 | Claimant(s): Bradford Kohlenberg, Virginia Lake Townhouses, Bradford Kohlenberg Qualif. Dispos. Trus Claimant Lawyers(s): Mark T. Drooks Respondent(s): RBC Capital Markets LLC, Stan Dreyfuss Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Michael D. Harrison, Edward A. Trabin, Gerald C. Tambe Hearing Site: Los Angeles, CA
| | $340,000 |
08-05012 | 02/24/2010 | Claimant(s): Mary Morlas, Mary Morlas IRA, Mary R. Morlas Trust Claimant Lawyers(s): Elizabeth A. Lowery Respondent(s): Christopher Kennedy, John Kennedy, Robert Weaver, RBC Capital Markets LLC Respondent Lawyers(s): Abe Lampart Arbitrator(s): William J. Adams Hearing Site: Los Angeles, CA
| | $0 |
09-03315 | 01/21/2010 | Claimant(s): Sandra Vincent Claimant Lawyers(s): Jeffrey A. Sellers Respondent(s): Richard Fishbach, Ferris, Baker Watts, RBC Capital Markets LLC Respondent Lawyers(s): Daniel J. Donovan Arbitrator(s): Ellen Holland Keller Hearing Site: Cleveland, OH
| | $0 |
09-03249 | 12/21/2009 | Claimant(s): Felton A. Ferrini Living Trust Claimant Lawyers(s): Roger B. Frederickson Respondent(s): Harry Fischer, RBC Capital Markets LLC Respondent Lawyers(s): Abe Lampart Arbitrator(s): Amy Seltzer Hearing Site: San Francisco, CA
| | Expungement |
09-01554 | 12/07/2009 | Claimant(s): Philip and Sara Linwick Comm. Property Claimant Lawyers(s): Andrew J. Kinstler Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): David L. Young Arbitrator(s): William W. Anderson, Melvyn Jay Simburg, Roy J. Moceri Hearing Site: Seattle, WA
| | $40,225 |
09-00366 | 10/30/2009 | Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Joseph F. Keenan Respondent(s): Timothy Cox Respondent Lawyers(s): Timothy Joseph Cox Arbitrator(s): Donald J. Rasweiler, Sherri L. Hughes, Paul Giappone Hearing Site: New York, NY
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07-03102 | 09/24/2009 | Claimant(s): Alberto Roque, Felipe Pazos, Patrick Grattan Claimant Lawyers(s): Jason S. Haselkorn Respondent(s): RBC Dain Rauscher., RBC Capital Markets LLC Respondent Lawyers(s): Carolyn Guy, Donald S. Arbour Arbitrator(s): Roy B. Gonas, Norman L. Weiss, Ted Romanos Hearing Site: Miami, FL
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08-04122 | 01/23/2009 | Claimant(s): Neuberger Berman Management LLC Claimant Lawyers(s): Jonathan C. Thau Respondent(s): Jeffrey Tucker, RBC Capital Markets LLC, Seamus Monschein, Shari Mason, Steven Mascitelli Respondent Lawyers(s): Joel E. Davidson Arbitrator(s): Milton M. Stein, Robert Bartels, John D. Nagy Hearing Site: New York, NY
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