Our Staff has compiled our research into a database of FINRA Broker Disclosures for Capitol Securities Management, 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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Roland Bellamah | 2171352 | 1 | 09/01/2023 | Customer Dispute | Pending | $120,000.00 | $0.00 | See FINRA Report |
| Joseph J Fumo | 6010416 | 1 | 12/04/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brett Stephen Briggs | 1226255 | 10 | 11/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kent Eric Engelke | 1421164 | 3 | 08/24/2020 | Customer Dispute | Settled | $168,000.00 | $0.00 | See FINRA Report |
| Laura Lynn Settle | 2528371 | 2 | 07/07/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura Lynn Settle | 2528371 | 2 | 12/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Jay Scherwa | 2743773 | 2 | 09/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Greenblatt | 2276966 | 5 | 09/21/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Carter Knobel | 2565979 | 1 | 03/09/2018 | Customer Dispute | Settled | $40,366.00 | $0.00 | See FINRA Report |
| Timothy Jay Scherwa | 2743773 | 2 | 10/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |