| 21-00010 | 05/20/2022 | Claimant(s): Peter Dora, Peter D. Dora, on Behalf of His IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
|  | $107,725 |
| 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 |
| 18-02693 | 05/21/2019 | Claimant(s): Jason Hoffman
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Cape Securities.
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | |
| 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 |
| 11-02747 | 05/21/2013 | Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
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