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 | 02/18/2004 | Customer Dispute | Denied | $8,635.00 | $0.00 | See FINRA Report |
| John D Jenkins | 3208794 | 2 | 12/18/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Muldowney | 2125331 | 1 | 08/20/2003 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Robert Arthur Jones | 734692 | 5 | 04/20/2000 | Customer Dispute | Settled | $15,000,000.00 | $0.00 | See FINRA Report |
| Wilson Smith Hoyle | 2444392 | 1 | 05/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Medlin | 1889227 | 1 | 08/03/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark William Chamberlain | 1655738 | 8 | 04/01/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Howard Schwartz | 1094495 | 1 | 10/18/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Gregory Jantzen | 2164209 | 2 | 08/11/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jan Joseph Rezler | 2671461 | 1 | 04/16/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |