| 17-02206 | 02/01/2019 | Claimant(s): Beryl Patin, Janis Lakin
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): Robert H. Putnam, Lawrence R. Maxwell, Imre Stephen Szalai
Hearing Site: New Orleans, LA
|  | $2,380,660 |
| 17-00150 | 11/07/2018 | Claimant(s): Edith M. Wachsner Trust
Claimant Lawyers(s): Henry I. Willett
Respondent(s): Kent Engelke, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): James A. Hayes, Robert Charkovsky, Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | Expungement |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 12-03187 | 11/25/2013 | Claimant(s): James Walsh
Claimant Lawyers(s): James M. Walsh
Respondent(s): Jeffrey Briggs, Mitchell Pizzirusso, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): John Richard Lynch
Hearing Site: Buffalo, NY
| | $0 |
| 09-05600 | 02/25/2010 | Claimant(s): Bruce Brookshire
Claimant Lawyers(s): Bruce C. Brookshire
Respondent(s): George Hamby, James Day, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
