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FINRA Awards for RBC Capital Markets LLC

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Displaying 11-20 out of 149 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0235507/25/2022Claimant(s): Randy Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
20-0409407/08/2022Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael Rowe
Respondent(s): David Weigel, John Moran
Respondent Lawyers(s): David E. Robbins, Michael Rowe
Arbitrator(s): Jeffrey Alan Helewitz, Josefa Antonia Sicard-Mirabal, Josian Antoine
Hearing Site: New York, NY
21-0229204/21/2022Claimant(s): David Bindelglass
Claimant Lawyers(s): Michael Bessette
Respondent(s): Citigroup Global Markets., RBC Capital Markets LLC
Respondent Lawyers(s): Adam Kauff, Leyla Bari
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
19-0357504/04/2022Claimant(s): Kimberly Hartman
Claimant Lawyers(s): Brittany Weiner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Ellen F. Kandell, James Ray Eyler, Michele Francene Dandrea
Hearing Site: Baltimore, MD
21-0227702/14/2022Claimant(s): Jeffrey Rosenblum
Claimant Lawyers(s): Stephan Louviere
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
21-0134401/11/2022Claimant(s): Rhys Helt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, RBC Capital Markets LLC
Respondent Lawyers(s): Jennifer E. Novoselsky, Tiana M. Towns
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
20-0378411/22/2021Claimant(s): Tara O'Connor-Roche, Estate of Paul Roche III
Claimant Lawyers(s): Robert Kraus
Respondent(s): Christopher Bayles, RBC Capital Markets LLC
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Jeffrey Alan Helewitz, Patricia Kathleen Costello, Lourdes Gomez
Hearing Site: New York, NY
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21-0010008/18/2021Claimant(s): Robert Tansey
Claimant Lawyers(s): Frederic M. Krieger
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
20-0398906/10/2021Claimant(s): Todd Calamita
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
20-0141105/26/2021Claimant(s): Edward Tyree, Tammy Hillman
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): RBC Capital Markets LLC, Richard Ruckart
Respondent Lawyers(s): Amanda E. Colvin
Arbitrator(s): Chase Boone Saunders, Richard E. Miley, Kathleen Dooley
Hearing Site: Charlotte, NC

149 Results

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