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 |
|---|---|---|---|---|---|---|---|---|
| John D Jenkins | 3208794 | 2 | 10/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 04/22/2008 | Customer Dispute | Closed-No Action | $99,288.00 | $0.00 | See FINRA Report |
| William Travis Whitten | 4970067 | 1 | 12/28/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Epting | 6278155 | 1 | 10/26/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Andrew Wertheim | 2660513 | 1 | 05/15/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |