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FINRA Awards for Capital One Investment Services LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0193909/21/2015Claimant(s): Donald Courville
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Capital One Investment Services LLC
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): J. Maxwell Williams
Hearing Site: New Orleans, LA
Checkmark IconExpungement
10-0499303/28/2013Claimant(s): Alberta Thornhill
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Banc of America Investment Services Inc., Capital One Investment Services LLC
Respondent Lawyers(s): Genna Stephens, Todd Ratner
Arbitrator(s): George A. Sellnau, Jonathan Burke Rada, William R. Jonson
Hearing Site: Houston, TX
Checkmark IconExpungement

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