| 15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): John P. Kincade, Joseph C. Coates
Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays
Hearing Site: Houston, TX
|  | Expungement |
| 16-03042 | 03/27/2017 | Claimant(s): Eric Stubbs
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities, RBC Capital Markets LLC
Respondent Lawyers(s): Eugene Small, Patrick Howley
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 15-01654 | 11/28/2016 | Claimant(s): Joseph Dotolo, Joseph R. Dotolo Rev Trust, Joseph R. Dotolo TTEE
Claimant Lawyers(s): Paul J. Pisano
Respondent(s): Kirstin Turner, Lisa Lowi, RBC Capital Markets LLC
Respondent Lawyers(s): Frank J. Cuccio, Jason S. Haselkon
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Providence, RI
| | $0 |
| 15-02128 | 11/23/2016 | Claimant(s): Kristin Ng
Claimant Lawyers(s): Brittany Weiner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 16-00614 | 10/24/2016 | Claimant(s): Greg Mastronardi
Claimant Lawyers(s): Richard T. Hunter
Respondent(s): Brian Nydegger, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | Expungement |
| 15-02212 | 10/05/2016 | Claimant(s): Leaman Ames, Pamela Ames
Claimant Lawyers(s): Mitchell S. Chaban
Respondent(s): Brent Hurt, RBC Capital Markets LLC, Redridge Securities.
Respondent Lawyers(s): Brent Hurt, Ronald P. Kane
Arbitrator(s): Robert W. Edler, Marilee Roberg, Jules Ira Crystal
Hearing Site: Chicago, IL
| | $430,824 |
| 15-02911 | 06/23/2016 | Claimant(s): Michelle Roberts
Claimant Lawyers(s): Michelle M. Roberts
Respondent(s): Mark Otta, Monica John, RBC Capital Markets LLC, Stanley Cooper
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-02887 | 06/13/2016 | Claimant(s): Dennis Mahoney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): Peter R. Day
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 15-00943 | 02/09/2016 | Claimant(s): Beatrice Scheinbaum
Claimant Lawyers(s): Adam Gana
Respondent(s): RBC Capital Markets LLC, Metlife Investors Distribution Company
Respondent Lawyers(s): Penelope Taylor, Priscilla A. Donovan
Arbitrator(s): Sandra D. Parker, Leslie Ruth Nydick, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 15-01364 | 12/30/2015 | Claimant(s): Charles Finkelstein
Claimant Lawyers(s): Charles Finkelstein
Respondent(s): James Borgerding, Lindie Enders, RBC Capital Markets LLC
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
