| 20-03366 | 03/03/2022 | Claimant(s): Jayne Di Vincenzo
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Devin Garofalo
Respondent Lawyers(s): W.R. Baldwin
Arbitrator(s): Janice L. Burnham, JoAnne Lewis Nolte, Michael Andrew Glasser
Hearing Site: Norfolk, VA
| | |
| 19-02073 | 01/13/2020 | Claimant(s): Paul Campbell
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 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 |
| 17-00608 | 08/03/2017 | Claimant(s): Andrew Gentiluomo
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Thomas B. Corey, Edith N. Dinneen, Charles Robert Moore
Hearing Site: Raleigh, NC
| | |
| 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 |
| 14-00305 | 08/13/2015 | Claimant(s): Laura Hunsicker
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Bryon P. Fusini, Douglas Earl McLaren, Peter H. Goldberg
Hearing Site: Washington, DC
| | |
| 13-00294 | 02/02/2015 | Claimant(s): Jameson Hamilton, Jeffrey Sciscilo, Jennifer Reiley, Joshua Goulding, McLaughlin Ryder Advisory Services, McLaughlin Ryder Investments.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Kelly Campbell, Campbell Financial Management., Campbell Wealth Management.
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Emily Eiselman Hunter, Robert Vaughan Cornish, Robert Field
Hearing Site: Washington, DC
| | |
| 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 |
