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 |
|---|---|---|---|---|---|---|---|---|
| Christopher J Cowans | 1684420 | 8 | 04/02/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Chi Tat Lam | 3157188 | 4 | 03/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John R Trentanove | 2969655 | 1 | 04/28/2006 | Customer Dispute | Settled | $21,367.80 | $0.00 | See FINRA Report |
| Jeffrey Leonard Briggs | 1422021 | 3 | 11/23/2005 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Richard David Marshall | 2477197 | 1 | 10/14/2005 | Customer Dispute | Settled | $8,400.00 | $0.00 | See FINRA Report |
| Claire E Soja | 2521634 | 1 | 04/08/2003 | Customer Dispute | Settled | $34,562.20 | $0.00 | See FINRA Report |
| Brett Stephen Briggs | 1226255 | 10 | 01/28/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brett Stephen Briggs | 1226255 | 10 | 09/27/2002 | Customer Dispute | Settled | $540,698.00 | $0.00 | See FINRA Report |
| Christopher J Cowans | 1684420 | 8 | 06/03/2002 | Customer Dispute | Settled | $106,948.00 | $0.00 | See FINRA Report |
| H Edward Burgess | 2812262 | 1 | 09/26/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |