| 10-03839 | 07/20/2011 | Claimant(s): Arthur Manaselian
Claimant Lawyers(s): Benajamin Lapin
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Kevin J Mulrey, Leon E. Byng, Allen W. Fullerton
Hearing Site: Boston, MA
|  | $0 |
| 08-00082 | 05/14/2010 | Claimant(s): Eugene O. Jones and Joy F. Jones
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Slowey, Edward Puttick, Advanced Planning Securities.
Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan
Arbitrator(s): John J. Meyer, Jerry C. Prestridge, David Walton Earle
Hearing Site: New Orleans, LA
| | Stipulated Award |
| 09-02687 | 05/11/2010 | Claimant(s): Annette Smith, Donald Smith, Annette Smith IRA, Donald L. Smith Individual Retirement Ac, Donald L. Smith SEP
Claimant Lawyers(s): William A Jacobson
Respondent(s): Alan Cook, RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): David L. Hoffberg
Hearing Site: Rochester, NY
| | $14,296 |
| 08-02854 | 12/31/2009 | Claimant(s): Ava Raphael, Bradley Raphael, Brian Raphael, Brooke Raphael, Irving Raphael
Claimant Lawyers(s): James L. Sonneborn
Respondent(s): Bruce Sears, Heather Hunt-Ruddy, Joseph O'Connor, RBC Dain Rauscher
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Vincent Micciche, Kathleen Hoey Gorr, Edmund Viele
Hearing Site: Rochester, NY
| | $50,000 |
| 08-03608 | 11/25/2009 | Claimant(s): Cheryl Radey, Frank Radey, Patricia Radley
Claimant Lawyers(s): Frank H. Radey
Respondent(s): J. B. Hanauer & Co.
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Jim Geiger, Dale A. Pope, Mary L. Sims
Hearing Site: Philadelphia, PA
| | $0 |
| 07-02291 | 09/05/2008 | Claimant(s): Brenda Kinnan, Thomas Kinnan
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Slowey, Advanced Planning Securities.
Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan
Arbitrator(s): Donald M. Macdonald, W. Patrick Baker, Dorothy Nelson Bryan
Hearing Site: New Orleans, LA
| | $406,860 |
| 06-04655 | 09/17/2007 | Claimant(s): Richard Ford
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Andrew Samalin, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Daniel B. Berkson, Leah G. Rabinowitz, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
