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FINRA Awards for RBC Capital Markets LLC

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Displaying 21-30 out of 149 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0239004/02/2021Claimant(s): Alan Sharpe
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
20-0207803/26/2021Claimant(s): Joanne Gilrain
Claimant Lawyers(s): Joanne C. Gilrain
Respondent(s): Brian Kerwin, RBC Capital Markets LLC
Respondent Lawyers(s): Roxanna V. Gonzalez
Arbitrator(s): Denise L. Quarles
Hearing Site: Jersey City, NJ
Checkmark Icon$163
20-0362903/17/2021Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): John Ebanietti
Respondent Lawyers(s): John B. Ebanietti
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
20-0177902/23/2021Claimant(s): Kevin Piker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M Towns
Arbitrator(s): Maxel (Bud) B Silverberg
Hearing Site: Kansas City, MO
20-0163002/05/2021Claimant(s): Marc Alexander
Claimant Lawyers(s): J. Michael Bishop
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Scott A. Schweber
Hearing Site: Atlanta, GA
19-0325507/03/2020Claimant(s): John Piemonte
Claimant Lawyers(s): Brian Sasan Hormozi
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
19-0315606/10/2020Claimant(s): John Moran
Claimant Lawyers(s): Rachel Mech
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
19-0348905/29/2020Claimant(s): Ross Feigen
Claimant Lawyers(s): Maryana Feigen
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
19-0183102/04/2020Claimant(s): Mark Lininger
Claimant Lawyers(s): Harris Freedman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
19-0149512/26/2019Claimant(s): Kimberly Ripoll
Claimant Lawyers(s): Brian E. Bro
Respondent(s): Francis O'Neill, RBC Capital Markets LLC
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Richard Roger Brewer
Hearing Site: Houston, TX

149 Results

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