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 |
14-00777 | 08/17/2015 | Claimant(s): Danny Brumble, Paula Brumble Claimant Lawyers(s): Robert J. Carlson Respondent(s): David Lyles, Merrill Lynch Pierce Fenner & Smith Inc., William Mulder Respondent Lawyers(s): Janet K. DeCosta, Ronald D. Smith Arbitrator(s): Phil E. Macy, Robert Steven Haught, Lawrence Franklin McAtee Hearing Site: Oklahoma City, OK
| | Expungement |
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 |
11-04681 | 09/18/2013 | Claimant(s): Roger Davidson, Redwood F Trust, Redwood II F Trust, FBO Naomi Davidson, FBO William Davidson, Redwood II Trust, Robin II Trust, Roger C. Davidson Revocable Trust Claimant Lawyers(s): Janet K. DeCosta Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nikolas S. Komyati Arbitrator(s): Romaine L. Gardner, Sandra J. Mullings, Joan Marie Chiusano Hearing Site: New York, NY
| | Expungement |
08-03816 | 07/29/2011 | Claimant(s): Othello Capital GP, Othello Capital Partners LP Claimant Lawyers(s): Janet K. DeCosta Respondent(s): Jackson Su, Penson Financial Services., Othello Capital Management LLC Respondent Lawyers(s): Elizabeth A. Frohlich, Janet K. DeCosta Arbitrator(s): Mark I Preston, Maxel (Bud) B. Silverberg, Theodore Mack Hearing Site: Dallas, TX
| | $250,000 |
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 |
08-04225 | 10/27/2009 | Claimant(s): Almas Temple A.A.O.N.M.S. Claimant Lawyers(s): Janet K. DeCosta Respondent(s): M&T Securities. Respondent Lawyers(s): Douglas K. Spaulding Arbitrator(s): Steven R. Bralove, Michael J. Henke, Olivia Milbank Farrar Hearing Site: Washington, DC
| | $0 |