| 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 |
| 14-03809 | 10/23/2015 | Claimant(s): Sylvia Keyes, Sylvia Keyes IRA Rollover Account, TTEE
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): David Messaline, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Colette Manoil, Dennis M. Cronin, James R. Collins
Hearing Site: Boston, MA
| | $175,425 |
| 11-01338 | 10/15/2015 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joel E. Davidson
Respondent(s): Daniel Bushey
Respondent Lawyers(s): Robert E. Manchester
Arbitrator(s): Cindy L. Anderson, Anne H. Orr, George Davenport
Hearing Site: Jacksonville, FL
| | |
| 15-00504 | 09/28/2015 | Claimant(s): Kathleen McCue, Kathleen F. McCue o/b/o IRA
Claimant Lawyers(s): Marvin L. Szymkowicz
Respondent(s): Dennis Cambal, Geoffrey Cambal, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | $300 |
| 14-01703 | 08/07/2015 | Claimant(s): Betty Fischer, Herbert Fischer
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Daniel Micha, RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Joseph D. Vu
Hearing Site: Milwaukee, WI
| | $300 |
| 12-04201 | 07/29/2015 | Claimant(s): Doris Rose, Code 3 Industries., Historical Properties., Kay Administration Service., The Rose Family Trust, The Rose Family Trust # 3, The Rose Family Trust #2
Claimant Lawyers(s): Daniel Carlson, G. Mark Brewer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Helen W. Kinnaird, Evan A. Gould, John Scott Carter
Hearing Site: San Diego, CA
| | Expungement |
| 13-03541 | 02/13/2015 | Claimant(s): Anthony Kurtz, Nancy Legum
Claimant Lawyers(s): Paul C. Kurtz
Respondent(s): RBC Capital Markets LLC, Samuel Koltun
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): Jeffry L. Perlman, Chris J. Conanan, Michael R. Snow
Hearing Site: Washington, DC
| | $0 |
| 13-00212 | 01/06/2015 | Claimant(s): Anthony Humpage
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Howard W. Shannon, Merton E. Marks, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 13-02311 | 12/16/2014 | Claimant(s): Mel Schonhorst
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Jonathan J. Hegre
Arbitrator(s): Louis J. Weber
Hearing Site: Dallas, TX
| | |
| 13-03068 | 12/04/2014 | Claimant(s): Kevin Rodriguez
Claimant Lawyers(s): Jason W. Gaarder
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillps
Arbitrator(s): Shahla Butler, Vicky L. Orem, Thomas James Hirsch
Hearing Site: Baltimore, MD
| | $0 |
