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 |
|---|---|---|---|---|---|---|---|---|
| Laura Casey | 2684465 | 1 | 08/02/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason A Goodhue | 5121680 | 1 | 11/10/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Joseph J Fumo | 6010416 | 1 | 12/04/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| 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 | |
| Frank Alexander Ballinger | 873485 | 10 | 08/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Alexander Ballinger | 873485 | 10 | 07/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Thomas Ragold | 1808168 | 2 | 01/07/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Larry Bendt | 2100756 | 1 | 12/28/2018 | 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 |