| 13-02360 | 05/13/2014 | Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Proequities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger
Hearing Site: Minneapolis, MN
|  | $0 |
| 11-00239 | 02/07/2012 | Claimant(s): Pavonia Investments, SA (Bahamas)
Claimant Lawyers(s): John J. Muldoon
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Bernard A. Becker, Barth Satuloff, Barry David Thorpe
Hearing Site: Miami, FL
| | $0 |
| 10-04904 | 10/21/2011 | Claimant(s): Caleb L. Batten Trust
Claimant Lawyers(s): Andre R Perron
Respondent(s): Wells Fargo Advisors, Mitchell Halperin
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): John P. Cullem, Patricia Gunn, Henry A. Tenenbaum
Hearing Site: Tampa, FL
| | $110,271 |
| 09-06704 | 07/27/2010 | Claimant(s): Beja Finance International
Claimant Lawyers(s): Robert L. Schenk
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Mark D. Quinn, Todd M. Saunders, Barry David Thorpe
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 07-01272 | 11/11/2009 | Claimant(s): Billy House, Curley Bernard, David Gallien, George Terry, Gordie Greening, Gregory Bonnett, Judy Casey, Linda Corley, Michael Gilcrease, Roger House
Claimant Lawyers(s): Lee Bowie
Respondent(s): ENTERED IN ERROR, Gregory Hildebrand, Peter Dahlstrom, Intersecurities.
Respondent Lawyers(s): Burton W. Wiand, Katherine C. Donlon, Lee Bowie
Arbitrator(s): Nicole T. LeBoeuf, James W. Kerr, Larry N. Quinn
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
| 07-00812 | 11/01/2007 | Claimant(s): John Amon
Claimant Lawyers(s): John I. Amon
Respondent(s): Tom Moriarty, Vic Hobson, Intersecurities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Thomas W. Steed, Wayne Parker, William A. Collison
Hearing Site: Raleigh, NC
| | |
| 06-04315 | 09/19/2007 | Claimant(s): John Knaub, Lonita Knaub
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): ProEquities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): David M. Snyder, Darryl C. Wilson, Robert Giffen Collins
Hearing Site: Tampa, FL
| | $300 |
