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 |