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 |
|---|---|---|---|---|---|---|---|---|
| Michael Edward Blair | 1204155 | 3 | 03/12/2010 | Customer Dispute | Settled | $0.00 | $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 | 11/20/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Land Hite | 4359244 | 1 | 11/20/2009 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Ryan Gregory Jantzen | 2164209 | 2 | 11/02/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Michael Edward Blair | 1204155 | 3 | 10/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Arthur Jones | 734692 | 5 | 10/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Arthur Jones | 734692 | 5 | 06/30/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Mark Riley | 2463351 | 2 | 05/15/2009 | Customer Dispute | Settled | $18,197.80 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 04/20/2009 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |