Our Staff has compiled our research into a database of FINRA Broker Disclosures for Capfinancial Securities, Llc.. Search or filter the database to find more about a specific broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Faazleen Razia Buksh | 6865190 | 1 | 01/06/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Devin Poulsen Gillies | 6716701 | 1 | 11/18/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerald Edward Mang | 2228023 | 1 | 12/24/2020 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Rashad Sullivan | 5619058 | 2 | 11/18/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aaron Adcock | 4849315 | 1 | 10/31/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Nathaniel Deleon | 5777119 | 1 | 10/31/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rashad Sullivan | 5619058 | 2 | 09/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Merritt Gordon | 2293835 | 1 | 09/06/2019 | Customer Dispute | Settled | $26,492.00 | $0.00 | See FINRA Report |
| Cheryl Spahr Wickham | 2361415 | 1 | 12/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark William Chamberlain | 1655738 | 8 | 08/21/2017 | Customer Dispute | Denied | $94,000.00 | $0.00 | See FINRA Report |