13-00925 | 10/29/2013 | Claimant(s): The M. Chandler Living Trust Claimant Lawyers(s): Greg Hendrix Respondent(s): Curtis Faulkner, RBC Capital Markets LLC Respondent Lawyers(s): Carolyn Guy, Julie Thrall Burrow Arbitrator(s): Michael G. Clark Hearing Site: Portland, OR
| | Expungement |
12-02222 | 08/08/2013 | Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Carolyn Guy Respondent(s): Jerry Nichols Respondent Lawyers(s): Jerry Lee Nichols Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ
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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 |
10-00558 | 01/13/2011 | Claimant(s): Antoinette Guenther, Antoinette S. Guenther Revocable Trust Claimant Lawyers(s): Richard J. Gerace Respondent(s): Richard Schilffarth, RBC Capital Markets LLC, B. C. Ziegler and Company Respondent Lawyers(s): Carolyn Guy, Jonathan W. Hackbarth, Nancy L. Hendrickson Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell Hearing Site: Milwaukee, WI
| | $0 |
07-03102 | 09/24/2009 | Claimant(s): Alberto Roque, Felipe Pazos, Patrick Grattan Claimant Lawyers(s): Jason S. Haselkorn Respondent(s): RBC Dain Rauscher., RBC Capital Markets LLC Respondent Lawyers(s): Carolyn Guy, Donald S. Arbour Arbitrator(s): Roy B. Gonas, Norman L. Weiss, Ted Romanos Hearing Site: Miami, FL
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08-00359 | 01/13/2009 | Claimant(s): Zeus Securities. Claimant Lawyers(s): Marc S. Gottlieb Respondent(s): RBC Dain Correspondence Services Respondent Lawyers(s): Carolyn Guy Arbitrator(s): Paul A. Merolla Hearing Site: New York, NY
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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
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07-03083 | 08/12/2008 | Claimant(s): RBC Capital Markets Corporation Claimant Lawyers(s): Carolyn Guy Respondent(s): Anthony Russo Respondent Lawyers(s): Anthony Russo Arbitrator(s): Larry D. Hayden Hearing Site: Denver, CO
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07-01608 | 01/04/2008 | Claimant(s): RBC Capital Markets Corporation Claimant Lawyers(s): Carolyn Guy Respondent(s): Thomas Mitchell Respondent Lawyers(s): Thomas Mitchell Arbitrator(s): Ronnie Edward Nichols, Glenn A. Clinefelter, John Wescoat Sandlin Hearing Site: Columbia, SC
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06-02931 | 11/29/2007 | Claimant(s): RBC Dain Rauscher. Claimant Lawyers(s): Carolyn Guy Respondent(s): Carmine Grillo, Charles Hubbard, Christopher Horner, Melvin Reiter, Robert Weaver, Dain Rauscher Financial Group Respondent Lawyers(s): Carolyn Guy, Merle H. Horwitz Arbitrator(s): Robert S. Fash, Linda J. Berberian, Kendall C. Reed Hearing Site: Los Angeles, CA
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