Our Staff has compiled our research into a database of FINRA Broker Disclosures for Modern Capital 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 |
|---|---|---|---|---|---|---|---|---|
| Mark Axmacher | 5534770 | 4 | 12/28/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Axmacher | 5534770 | 4 | 06/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Axmacher | 5534770 | 4 | 05/18/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Randolph Bohn | 4540037 | 1 | 12/01/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Axmacher | 5534770 | 4 | 02/02/2016 | Customer Dispute | Denied | $5,718.60 | $0.00 | See FINRA Report |
| Michael Lawson Pierce | 2602409 | 6 | 12/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Lawson Pierce | 2602409 | 6 | 03/16/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Lawson Pierce | 2602409 | 6 | 04/09/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael J Graves | 4470545 | 1 | 03/31/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Lawson Pierce | 2602409 | 6 | 01/25/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |