| 21-02981 | 11/10/2022 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): George F. Meierhofer
Respondent(s): Kevin Doyle
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | |
| 16-00698 | 01/03/2017 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breibart
Respondent(s): Bryan Lubitz
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | |
| 13-03238 | 12/12/2016 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Bryan Lubitz, Trident Partners LTD
Respondent Lawyers(s): Joseph F. Keenan, Robert I. Rabinowitz
Arbitrator(s): Linda S. Cole, Vincent C. Pangia, Cynthia A. DiMarco
Hearing Site: New York, NY
|  | Stipulated Award |
| 16-00614 | 10/24/2016 | Claimant(s): Greg Mastronardi
Claimant Lawyers(s): Richard T. Hunter
Respondent(s): Brian Nydegger, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | Expungement |
| 14-03809 | 10/23/2015 | Claimant(s): Sylvia Keyes, Sylvia Keyes IRA Rollover Account, TTEE
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): David Messaline, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Colette Manoil, Dennis M. Cronin, James R. Collins
Hearing Site: Boston, MA
| | $175,425 |
| 15-00504 | 09/28/2015 | Claimant(s): Kathleen McCue, Kathleen F. McCue o/b/o IRA
Claimant Lawyers(s): Marvin L. Szymkowicz
Respondent(s): Dennis Cambal, Geoffrey Cambal, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | $300 |
| 13-00212 | 01/06/2015 | Claimant(s): Anthony Humpage
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Howard W. Shannon, Merton E. Marks, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 10-05445 | 08/21/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Gregory Dotter
Respondent Lawyers(s): Gregory Dotter
Arbitrator(s): Edward T. Borer, Jim Geiger, Bernard Herman, Glenn J. Hansen, Roger Frazier Cox, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 10-05206 | 12/29/2011 | Claimant(s): Priscilla D. Johnson, IRA, William P. Johnson IRA, William P. Johnson & Priscilla D. Johnso
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Michael P. Anciello, Gene M. Bauer, Barry Joseph Fiske
Hearing Site: Boston, MA
| | Expungement |
| 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 |
