| 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
| | |
| 13-00144 | 11/22/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Thomas Hand
Respondent Lawyers(s): Thomas Alexander Hand
Arbitrator(s): Kevin J Mulrey, Jeffrey P. Petrucelly, Arthur Thomas Carr
Hearing Site: Boston, MA
| | |
| 11-04177 | 07/12/2013 | Claimant(s): Joseph Calabrese
Claimant Lawyers(s): Jenny L. Margeson
Respondent(s): Phillip Cheney, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Brian J. Dunn, James Alden Lincoln, Steven S. Manos
Hearing Site: Boston, MA
|  | Expungement |
| 12-01789 | 06/26/2013 | Claimant(s): Alan Mintz
Claimant Lawyers(s): W. Scott Turnbull
Respondent(s): Collin Meyer, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): William W. Bride, Alice J. Johnson, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-01766 | 02/12/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Richard Kasparian
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 11-04695 | 08/20/2012 | Claimant(s): Aldo Valente, Nelson Martins
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Nicholas Mazzaferro
Respondent Lawyers(s): Benjamin Lapin
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
| | Expungement |
| 11-03813 | 06/28/2012 | Claimant(s): Chad Joshpe
Claimant Lawyers(s): Timothy Feil
Respondent(s): Allan Hawkins
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): James M. Tipton, Sherrie R. Abney, Karen J. Zvonecek
Hearing Site: Dallas, TX
| | Expungement |
| 09-04480 | 11/22/2011 | Claimant(s): Jamie Blumenthal, Nancy Blumenthal
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Brian Wahlfeld, Don Torrillo, Gordon Hing, Emmett A Larkin Company.
Respondent Lawyers(s): David J. Feingold, Joseph Keenan, Nicholas S. Cerni
Arbitrator(s): Ann Blaess Kimball, Richard C. Corse, Jeanne Crandall
Hearing Site: Dallas, TX
| | Expungement |
| 10-04301 | 08/01/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Mark Levine
Respondent Lawyers(s): Martin A. Gould
Arbitrator(s): June Y. Kilmarx
Hearing Site: Hartford, CT
| | |
