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 |
|---|---|---|---|---|---|---|---|---|
| Mark William Chamberlain | 1655738 | 8 | 08/21/2017 | Customer Dispute | Denied | $94,000.00 | $0.00 | See FINRA Report |
| Craig Edward Draper | 2939545 | 1 | 05/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Kuhl Colley | 1544753 | 1 | 06/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark William Chamberlain | 1655738 | 8 | 05/08/2015 | Customer Dispute | Closed-No Action | $29,700.00 | $0.00 | See FINRA Report |
| Heather Anne Darcy | 6443091 | 1 | 09/22/2014 | Financial | Final | $0.00 | $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 |
| Andrew Vanness Battle | 4697930 | 1 | 08/01/2011 | Employment Separation After Allegations | $0.00 | $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 |