Our Staff has compiled our research into a database of FINRA Broker Disclosures for Caplink Securities, Inc. 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 |
|---|---|---|---|---|---|---|---|---|
| Scott Leon Dahle | 4544431 | 2 | 01/29/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Leon Dahle | 4544431 | 2 | 01/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Becky Swanston | 1107253 | 1 | 12/09/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |