| 07-03366 | 03/03/2009 | Claimant(s): Leslie Buttorff, J & N Realty Company
Claimant Lawyers(s): Susan G. Pray
Respondent(s): Anthony Russo, RBC Dain Rauscher.
Respondent Lawyers(s): Anthony C. Russo, William D. Nelson
Arbitrator(s): Arthur E. Otten, John A. Criswell, Melissa Dawn Hubbard
Hearing Site: Denver, CO
|  | $348,750 |
| 06-04160 | 12/12/2008 | Claimant(s): Karen Wagner
Claimant Lawyers(s): Bart Heemskerk
Respondent(s): Gerald Kalish, RBC Dain Rauscher.
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Robert M. Singer
Hearing Site: Hartford, CT
| | $0 |
| 07-02724 | 10/22/2008 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Gary Richard Irwin
Respondent(s): Wayne Sorokowski
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Arthur J. Leibell, Ted Romanos, William R. Alheim
Hearing Site: Boca Raton, FL
| | |
| 07-02585 | 09/30/2008 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Aaron R. Hartman
Respondent(s): Andrew Bjornlie, James Bjornlie, RBC Dain Rauscher.
Respondent Lawyers(s): Peter J. Meyer
Arbitrator(s): Judith A. Rogosheske, James A. Lundberg, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | |
| 06-04100 | 09/24/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): RBC Dain Rauscher., Scott Karpiak
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Alan J. Blocher, Catherine S. Kopley, Elena P. Anastasiou
Hearing Site: Philadelphia, PA
| | |
| 06-02790 | 01/02/2008 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Lynda Findlay
Respondent Lawyers(s): Lynda Ann Findlay-Scott
Arbitrator(s): Cary Allen, George A. Sawyer, David George McCabe
Hearing Site: Memphis, TN
| | |
| 05-01106 | 11/30/2007 | Claimant(s): Anthony Titone
Claimant Lawyers(s): Kimberly N. Testa
Respondent(s): RBC Dain Rauscher., Stanley Hochhauser
Respondent Lawyers(s): Sandra Grannum
Arbitrator(s): Ivan W. Harper, Frank J. Spencer, Steven A. Infante
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 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
| | |
| 05-06247 | 11/26/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Dale Johnson, James Tallant, John Pennington, Keith Shahan, Morgan Stanley DW Inc., Samuel Sloane, Susan Stroud
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Simeon R. Trotter, Malcolm W. Clarrissimeaux, Ted Martin Akin
Hearing Site: Dallas, TX
| | |
| 07-00713 | 11/21/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Donald Relyea
Respondent Lawyers(s): Donald H. Relyea
Arbitrator(s): Henry Hermann, Ronald G. Johnson, Terry Landry
Hearing Site: Dallas, TX
| | |
