| 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
| | |
| 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
| | |
| 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
| | |
