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 |
|---|---|---|---|---|---|---|---|---|
| Stuart Jay Knobel | 272498 | 3 | 08/29/2001 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Kent Eric Engelke | 1421164 | 3 | 06/22/2001 | Customer Dispute | Settled | $102,000.00 | $0.00 | See FINRA Report |
| Jerry Gayle Alley | 1571590 | 3 | 01/20/1999 | Customer Dispute | Settled | $9,850.00 | $0.00 | See FINRA Report |
| Ian Greenblatt | 2276966 | 5 | 11/10/1998 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| David Augustine Dellastua | 1920118 | 2 | 10/29/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Gerald Stein | 869186 | 6 | 08/01/1994 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Holly Smith | 1429151 | 4 | 11/30/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Holly Smith | 1429151 | 4 | 10/21/1993 | Customer Dispute | Settled | $11,633.00 | $0.00 | See FINRA Report |
| Holly Smith | 1429151 | 4 | 10/21/1993 | Customer Dispute | Settled | $15,253.00 | $0.00 | See FINRA Report |
| Holly Smith | 1429151 | 4 | 10/21/1993 | Customer Dispute | Settled | $11,244.00 | $0.00 | See FINRA Report |