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 |
|---|---|---|---|---|---|---|---|---|
| Joseph J Fumo | 6010416 | 1 | 12/04/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Jay Scherwa | 2743773 | 2 | 10/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Samuel Chi Tat Lam | 3157188 | 4 | 06/06/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jerome Albert Baron | 13157 | 1 | 02/22/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Francis Nicoletti | 347925 | 2 | 06/27/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roy Timothy Tepper | 1788251 | 4 | 05/26/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Brian Moran | 1180416 | 2 | 11/17/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jerry Gayle Alley | 1571590 | 3 | 01/22/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roy Timothy Tepper | 1788251 | 4 | 08/21/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Fletcher Bernard | 19811 | 1 | 06/22/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |