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 |
|---|---|---|---|---|---|---|---|---|
| Ian Greenblatt | 2276966 | 5 | 08/21/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Alan Walton Sharpe | 2011593 | 1 | 06/06/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Richard Carmine Cioffi | 2638642 | 1 | 05/24/2017 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Louis Anthony Pepe | 2296683 | 2 | 02/07/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kent Eric Engelke | 1421164 | 3 | 12/21/2016 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| William Allen Hunter | 4558583 | 1 | 11/07/2016 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| George Ancil Harbour | 1489367 | 1 | 11/07/2016 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Samuel Chi Tat Lam | 3157188 | 4 | 10/03/2016 | Regulatory | Final | $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 | |
| Paul Allen Bedinger | 719792 | 1 | 04/22/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |