| 20-00604 | 11/01/2021 | Claimant(s): James Rader
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Carina Koble
Arbitrator(s): Robert H. Putnam, Yaminah Childress, Jeffrey Kimar Coleman
Hearing Site: Atlanta, GA
|  | $194,404 |
| 20-02358 | 10/29/2021 | Claimant(s): Aprile Holland, Ene-Tea Bloom, Jane Thompson, Kevin Harden, Linda Brooks, Suzana Williams, William Farrelly, The Estate of Charles Wayne Lumsden, The Estate of John Francis Crosbie
Claimant Lawyers(s): David A. Bain
Respondent(s): Bart Bohrer, Donald Pollard, Gordon Dihle, Capital Financial Holdings., Capital Financial Services.
Respondent Lawyers(s): Michael Stegawski
Arbitrator(s): Joe E. Manuel, Larry Kenneth Lott, Larry R Armstrong
Hearing Site: Atlanta, GA
| | $755,723 |
| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $939,300 |
| 14-01859 | 04/14/2015 | Claimant(s): Beverly Copeland, Fran Scowden
Claimant Lawyers(s): Matthew Dumas
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | $31,741 |
| 13-03763 | 08/15/2014 | Claimant(s): Evelyn McDowell, John McDowell
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | $50,000 |
| 09-06881 | 12/29/2010 | Claimant(s): Shizuko Matsumoto
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): George Sakamoto, Kenneth Burkett, Capital Financial Services.
Respondent Lawyers(s): Christine Dusbabek, Edward F. Donohue
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | $0 |
| 07-02813 | 04/17/2009 | Claimant(s): Mary Colunga
Claimant Lawyers(s): William Hopkins
Respondent(s): Andrew Longoria, Capital Financial Services., GunnAllen Financial., LRS Investments
Respondent Lawyers(s): Janiece M. Longoria, Jay Marc Israel, Robert Tyler
Arbitrator(s): Morris Rubin, Sherry R. Wetsch, Larry J. Craddock
Hearing Site: Houston, TX
| | $47,500 |
| 08-00391 | 03/19/2009 | Claimant(s): Ralph MacNaughton
Claimant Lawyers(s): John J. Miller
Respondent(s): Dayton Ault, John Carlson, Capital Financial Services.
Respondent Lawyers(s): Jeffrey S. Jamieson, W. Perry Brandt
Arbitrator(s): M. W. Gear, Joseph M. Rebein, Dale C. Putman
Hearing Site: Kansas City, MO
| | Stipulated Award and Expungement |
