| 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 |
| 09-01655 | 03/12/2010 | Claimant(s): David Driesen
Claimant Lawyers(s): David M. Driesen
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Frank C. Fogl
Hearing Site: Rochester, NY
| | $7,664 |
| 09-01662 | 02/09/2010 | Claimant(s): Charles W. & Mary Alice Dammeyer
Claimant Lawyers(s): Jack J. Shapiro
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Paul Greenberg
Hearing Site: Baltimore, MD
| | $0 |
| 09-01093 | 11/23/2009 | Claimant(s): Donald Fangman, FRA Mauro, LTD.
Claimant Lawyers(s): Steven E. Achelpohl
Respondent(s): Victor Oelsen, RBC Capital Markets Corporation
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Lawrence P. McLellan
Hearing Site: Omaha, NE
| | $0 |
| 08-00826 | 07/27/2009 | Claimant(s): Deborah Pederson
Claimant Lawyers(s): William J. Egan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Joyce G. Gordon, Arthur Richard Tow, Brett W. Olander
Hearing Site: Minneapolis, MN
| | |
| 07-02662 | 05/29/2009 | Claimant(s): Murphy & Durieu
Claimant Lawyers(s): James M. Moriarty
Respondent(s): Cindy Dodeles, David Dodeles, J.P. Morgan Securities, Louis Cesario, RBC Capital Markets Corporation, Hamershlag, Dodeles & Co., Penson Financial Services.
Respondent Lawyers(s): Cindy Dodeles, David S. Richan, Gene L. Small, Ivan Dodeles, Joseph F. Keenan, Louis Cesario
Arbitrator(s): David S. Billet, Robert Pincus, Anthony J. Raimondi
Hearing Site: New York, NY
| | |
| 07-03440 | 01/23/2009 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): William Scull
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Lawrence W. Kern, Elton W. Chartrand
Hearing Site: Memphis, TN
| | |
| 07-01504 | 10/02/2008 | Claimant(s): RBC Dain Rauscher Inc.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Joe Jennings, RBC Capital Markets Corporation
Respondent Lawyers(s): John R. Jacobson, Philip B. Seaton
Arbitrator(s): Thomas L. Maschmeyer, J. Maxwell Williams, Joseph R. Heinz
Hearing Site: Memphis, TN
| | |
| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 07-02530 | 08/21/2008 | Claimant(s): Rohit Relan
Claimant Lawyers(s): Rohit Relan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Ralph DeSena
Arbitrator(s): Bernard A. Kesselman, Bruce K. Isenberg, Joan M. Traub
Hearing Site: New York, NY
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