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 |
|---|---|---|---|---|---|---|---|---|
| Scott Andrew Gerham | 1379361 | 1 | 12/05/1991 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Brett Stephen Briggs | 1226255 | 10 | 12/04/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stuart Jay Knobel | 272498 | 3 | 06/21/1991 | Customer Dispute | Settled | $113,736.00 | $0.00 | See FINRA Report |
| Roy Timothy Tepper | 1788251 | 4 | 12/18/1990 | Customer Dispute | Settled | $32,500.00 | $0.00 | See FINRA Report |
| Paul Joseph Grod | 5350362 | 1 | 08/22/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kristin Hunnibell Kennedy | 858642 | 1 | 10/30/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Holmes Stewart | 1741754 | 1 | 01/01/1989 | Customer Dispute | Award / Judgment | $25,000.00 | $5,000.00 | See FINRA Report |
| Stephen Fletcher Bernard | 19811 | 1 | 06/22/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Timothy Brosnan | 1926867 | 1 | 01/13/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Gerald Stein | 869186 | 6 | 06/09/1983 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |