| 17-00398 | 03/27/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Stephanie P. Berntsen
Respondent(s): Kevin Clouse, RBC Capital Markets LLC
Respondent Lawyers(s): James Sanders
Arbitrator(s): Clydia Jean Cuykendall, Jonathan Avram Kroman, Chris Robert Youtz
Hearing Site: Seattle, WA
| | |
| 16-03617 | 12/19/2017 | Claimant(s): John Hollenbeck, Lucille Hollenbeck
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): RBC Capital Markets LLC, Martin Olson
Respondent Lawyers(s): Eric D. Brandonbrener
Arbitrator(s): Stephen D Kursman, Jonathan Edward Maire, Arthur James Rubiner
Hearing Site: Detroit, MI
|  | $250,000 |
| 17-00305 | 10/27/2017 | Claimant(s): Virginia Nourie, Shane Nourie Custodial Account
Claimant Lawyers(s): Guy M. Burns
Respondent(s): Bruce Cameron, RBC Capital Markets LLC
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Donald Glen Russell, John G. Sciandra, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | $723,355 |
| 15-01863 | 09/08/2017 | Claimant(s): Hazel Kitzman, Estate of Hazel L. Kitzman, Separate Property Trust dated April 28,
Claimant Lawyers(s): Robert M. Caietti
Respondent(s): John Folsom, RBC Capital Markets LLC, Matthew Sweeney, RBC Wealth Management
Respondent Lawyers(s): H. Mark Mersel, Kamao Shaw, W. Perry Brandt
Arbitrator(s): Deanna J. Johnson, Sally G. Williams, Thomas Mitchell Rhodes
Hearing Site: San Diego, CA
| | $212,000 |
| 16-00902 | 08/28/2017 | Claimant(s): Thomas E. Krause
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Steven N. Ainbinder, Donald Theodore Ryce, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-00512 | 07/24/2017 | Claimant(s): John Keck, Kathleen Keck
Claimant Lawyers(s): Patrick J. Crank
Respondent(s): Bryan Pedersen, Jacqueline Georgio Westover, Paul Howard, RBC Capital Markets LLC
Respondent Lawyers(s): Adrian P. Castro, John S. Lutz
Arbitrator(s): Larry D. Hayden, Richard Djokic, Thomas R. Bromberg
Hearing Site: Cheyenne, WY
| | $559,612 |
| 13-03605 | 07/07/2017 | Claimant(s): Gregory Cohen
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P.
Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb
Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell
Hearing Site: New York, NY
| | $0 |
| 16-00712 | 06/09/2017 | Claimant(s): Susan Wilson
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Carl Shechter, Donald Theodore Ryce, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $0 |
| 15-03463 | 06/05/2017 | Claimant(s): Paul Blum
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Robert J. Buchner, Donald Theodore Ryce, Justin M. Moore
Hearing Site: Boca Raton, FL
| | |
| 16-03211 | 06/01/2017 | Claimant(s): Jeffrey Horn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
