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 Kenneth Cloud | 6033529 | 1 | 10/23/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan T Lewis | 6284390 | 1 | 03/16/2013 | Financial | Final | $0.00 | $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 | |
| Jeremy Rinehart | 3054654 | 2 | 12/30/2010 | Regulatory | Final | $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 |
| 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 |
| Charles Land Hite | 4359244 | 1 | 11/20/2009 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |