13-02319 | 02/17/2015 | Claimant(s): Doreen Torre, Doreen Torre Trust Claimant Lawyers(s): Doreen Torre Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Thomas R. Carlsen, Ellen I. Siegman, Wendi Blake Hearing Site: Tampa, FL
| | $0 |
08-03364 | 02/19/2014 | Claimant(s): David Abbott, James Abbott, Michael Abbott Claimant Lawyers(s): Peter A. Cantwell Respondent(s): Charles Lane, RBC Capital Markets Corporation Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman Hearing Site: Chicago, IL
| | $201,240 |
12-01404 | 11/15/2013 | Claimant(s): Sharon Gardner-Howder, Sharon E. Gardner-Howder IRA Claimant Lawyers(s): Kirk Smith Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): James C. Cosby Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Peter A. Portley Hearing Site: Boca Raton, FL
| | Expungement |
12-01501 | 05/29/2013 | Claimant(s): Stan Dreyfuss Claimant Lawyers(s): Leonard Steiner Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher. Respondent Lawyers(s): Linda Claxton Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | |
09-00524 | 11/26/2012 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Len Weintraub Respondent(s): Katherine Traver, RBC Capital Markets Corporation Respondent Lawyers(s): Eric D. Brandfonbrener Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman Hearing Site: Montpelier, VT
| | |
11-01142 | 06/19/2012 | Claimant(s): Greg Skafec Claimant Lawyers(s): Thomas L. Mason Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): Carolyn Guy Arbitrator(s): Kathleen P. Helbig-Hannan Hearing Site: Cleveland, OH
| | $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 |
10-04264 | 11/30/2011 | Claimant(s): Mark Oslick Claimant Lawyers(s): Daniel M. Hanifin Respondent(s): David Zane, Stephen Cordasco, RBC Capital Markets Corporation Respondent Lawyers(s): Joseph F. Keenan Arbitrator(s): Thomas Benjamin Salzer Hearing Site: Philadelphia, PA
| | Expungement |
10-01045 | 10/05/2010 | Claimant(s): Doris A. Minck Claimant Lawyers(s): Thomas E. Ciotti Respondent(s): RBC Capital Markets Corporation Respondent Lawyers(s): Patrick Howley Arbitrator(s): Paul J. Greco Hearing Site: Philadelphia, PA
| | $213 |
09-05195 | 05/13/2010 | Claimant(s): Edward Billig IRA Claimant Lawyers(s): Edward Billig Respondent(s): Gregory Iglow, Oppenheimer & Co.., RBC Capital Markets Corporation, Michael Rosenmayer Respondent Lawyers(s): Abe Lampert, Deborah Dickstein Arbitrator(s): James H. Frank Hearing Site: Los Angeles, CA
| | $17,546 |