| 13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss
Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Stipulated Award |
| 10-05445 | 08/21/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Gregory Dotter
Respondent Lawyers(s): Gregory Dotter
Arbitrator(s): Edward T. Borer, Jim Geiger, Bernard Herman, Glenn J. Hansen, Roger Frazier Cox, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 13-03281 | 07/14/2014 | Claimant(s): Henry Engelhardt
Claimant Lawyers(s): Henry Engelhardt
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
| | $550 |
| 13-02531 | 06/02/2014 | Claimant(s): Stuart Cahn
Claimant Lawyers(s): Marc Cahn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00714 | 05/23/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Nancy Hendrickson
Respondent(s): Daniel Micha
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Mark L Miller, Donald V. Anderson, Richard H. Porter
Hearing Site: Milwaukee, WI
| | |
| 12-02585 | 04/30/2014 | Claimant(s): Deanna Bresky
Claimant Lawyers(s): George G. Kurschner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Bruce K. Isenberg, David E. Mowry, Myron E. Levenson
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00369 | 02/28/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Tobias E. Schlueter
Respondent(s): Joyce Guccione
Respondent Lawyers(s): Randall B. Gold
Arbitrator(s): Lee H. Goodman, Daniel Baruch Lidawer, Gerald F DeNotto
Hearing Site: Chicago, IL
| | |
| 11-04057 | 02/07/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Beatrice Cheah
Arbitrator(s): Renan I. Sugarman, Dennis Roger Ahlm, Laura Kate Wennik
Hearing Site: Minneapolis, MN
| | |
| 13-00759 | 12/12/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Anthony Wall
Respondent Lawyers(s): Anthony A. Wall
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 12-02576 | 12/02/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Mark L. Johansen
Respondent(s): Kelly Rigas
Respondent Lawyers(s): R. Rogge Dunn
Arbitrator(s): Keith L. Saunders, Edward J. Lynch, Joseph Neal Richardson
Hearing Site: Dallas, TX
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