19-02734 | 09/16/2021 | Claimant(s): Patrick Taylor Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Dennis Murphy, Jamaal Potter, James Webb, Cape Securities Inc. Respondent Lawyers(s): Dennis James Murphy, Jamaal Nathan Potter, Judy A. Newcomb Arbitrator(s): John R. Loss Hearing Site: Kansas City, MO
| | $57,035 |
18-03757 | 12/11/2020 | Claimant(s): Allen Chick Claimant Lawyers(s): Daniel D'Costa Respondent(s): Cape Securities Inc. Respondent Lawyers(s): Judy A. Newcomb Arbitrator(s): Isidoro Berkman, Reuel Kenneth Fish, Sally Ann LaJoie Hearing Site: Portland, OR
| | Settlement |
18-00498 | 06/14/2018 | Claimant(s): Dale Spring Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Lon Faccini, Cape Securities Inc. Respondent Lawyers(s): Judy A. Newcomb Arbitrator(s): Richard R. Logsdon Hearing Site: Jacksonville, FL
| | $0 |
16-00519 | 03/01/2017 | Claimant(s): Tom Halling Claimant Lawyers(s): Jennifer Tarr Respondent(s): Lon Faccini, Michael Lovett, Cape Securities Inc. Respondent Lawyers(s): Judy A. Newcomb Arbitrator(s): Lynn Hirschfeld Brahin Hearing Site: Kansas City, MO
| | $0 |
15-01225 | 01/06/2017 | Claimant(s): Paul & Beatrice Hessong Claimant Lawyers(s): Jennifer Tarr Respondent(s): Buda Yao, Costa Tzotzis, James Webb, Jeff Bodner, Michael Lovett, Cape Securities Inc. Respondent Lawyers(s): Judy Newcomb Arbitrator(s): David L. Ruderman, Jane Tam, Harold Craig Cohen Hearing Site: Baltimore, MD
| | $0 |