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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Edward Mang | 2228023 | 1 | 12/24/2020 | Customer Dispute | Settled | $105,000.00 | $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 |
| Scott Merritt Gordon | 2293835 | 1 | 09/06/2019 | Customer Dispute | Settled | $26,492.00 | $0.00 | See FINRA Report |
| Nathan Penha | 5789318 | 1 | 01/16/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 05/07/2012 | Customer Dispute | Settled | $246,766.00 | $0.00 | See FINRA Report |
| Robert Arthur Jones | 734692 | 5 | 11/29/2010 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Alan Robert Nachman | 1553733 | 1 | 09/27/2010 | Customer Dispute | Settled | $12,350.00 | $0.00 | See FINRA Report |
| Robert Arthur Jones | 734692 | 5 | 03/12/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Blair | 1204155 | 3 | 03/12/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |