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 |
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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12-01451 | 02/04/2013 | Claimant(s): J.D. Nicholas & Associates. Claimant Lawyers(s): Ian Frimet Respondent(s): James Webb, Larry Yager, Michael Lovett, Paul Nardella, Cape Securities Inc. Respondent Lawyers(s): John A. Fortuna, Ron Amato Arbitrator(s): Michael J. McAllister, Marilyn J. Salzman, Ernesto V. Luzzatto Hearing Site: New York, NY
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10-03464 | 02/17/2011 | Claimant(s): Ruth Goldstein Claimant Lawyers(s): Ruth D. Goldstein Respondent(s): James Webb, Kathi Mansfield, Cape Securities Inc. Respondent Lawyers(s): Melissa Malcom Arbitrator(s): Robert H. Putnam Hearing Site: Atlanta, GA
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