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.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Scott Freiser | 4015302 | 1 | 04/05/2007 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| John Kenney | 3084401 | 1 | 03/20/2006 | Customer Dispute | Denied | $6,319.00 | $0.00 | See FINRA Report |
| Christopher Mark Riley | 2463351 | 2 | 01/07/2005 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 08/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Raymond Hartness | 2418328 | 1 | 04/07/2004 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 02/18/2004 | Customer Dispute | Denied | $8,635.00 | $0.00 | See FINRA Report |
| John D Jenkins | 3208794 | 2 | 12/18/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Muldowney | 2125331 | 1 | 08/20/2003 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Robert Arthur Jones | 734692 | 5 | 04/20/2000 | Customer Dispute | Settled | $15,000,000.00 | $0.00 | See FINRA Report |
| Wilson Smith Hoyle | 2444392 | 1 | 05/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |