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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Samuel Chi Tat Lam | 3157188 | 4 | 10/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Alexander Ballinger | 873485 | 10 | 03/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Gerald Stein | 869186 | 6 | 02/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradford Miles Kimball | 1363609 | 1 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Claude Brooks | 4796746 | 3 | 01/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Claude Brooks | 4796746 | 3 | 04/18/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Raymond Joseph | 262303 | 1 | 07/23/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Oftring | 1058581 | 3 | 04/05/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |