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FINRA Awards for RBC Capital Markets LLC

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Displaying 31-40 out of 149 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0198712/20/2019Claimant(s): David McIlroy
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
18-0315911/11/2019Claimant(s): Nicole Muir
Claimant Lawyers(s): Andre R. Perron
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Jeffrey J. Kalinowski
Arbitrator(s): Gregory D. Hoffmann, David Schwartzberg, Yuli Kotler
Hearing Site: Tampa, FL
19-0107810/28/2019Claimant(s): John Micera
Claimant Lawyers(s): Andrew T. Mount
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Morton S. Bunis
Hearing Site: Newark, NJ
18-0049709/16/2019Claimant(s): Guity Javid, Negeen Dehesh, Guity Javid Trust, Negeen Dehesh Trust
Claimant Lawyers(s): Grant B. Gelberg
Respondent(s): Aldo Lozano, Mark Panfil, RBC Capital Markets LLC
Respondent Lawyers(s): David Harrison, Michael M. Gless
Arbitrator(s): Edward A. Trabin, Mary M. O'Neil, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
Checkmark Icon$0
19-0018108/29/2019Claimant(s): Gary Burwick
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Maggie Goetze
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
18-0433307/22/2019Claimant(s): Harvey Hardee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
18-0276907/16/2019Claimant(s): Robert Sklar
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): James K. Langdon, Trae D. Meyr
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
18-0081607/09/2019Claimant(s): James McCrory
Claimant Lawyers(s): John H. West
Respondent(s): RBC Capital Markets LLC, Thomas McCrory
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Steven Irving Platt, Jonathan David Rogers, Andrew Eliot Finkel
Hearing Site: Baltimore, MD
18-0213806/10/2019Claimant(s): Esther Ackermann, Pauline Ackermann
Claimant Lawyers(s): Robert Gonser
Respondent(s): Ken Carter, RBC Capital Markets LLC
Respondent Lawyers(s): Donald Davidson, Trent M. Latta
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, G. E. Craig Doupe
Hearing Site: Seattle, WA
Checkmark IconExpungement
19-0000805/31/2019Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Robert Stiles
Respondent Lawyers(s): Robert Louis Stiles
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC

149 Results

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