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 | 11/13/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Leonard Briggs | 1422021 | 3 | 02/27/2013 | Customer Dispute | Denied | $291,146.00 | $0.00 | See FINRA Report |
| John Patrick Oleary | 1875296 | 1 | 08/07/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Robert Raymond Joseph | 262303 | 1 | 07/23/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Gerald Stein | 869186 | 6 | 06/22/2012 | Customer Dispute | Settled | $50,879.10 | $0.00 | See FINRA Report |
| Jerome Albert Baron | 13157 | 1 | 02/22/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Oftring | 1058581 | 3 | 11/16/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Oftring | 1058581 | 3 | 04/05/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Gerald Stein | 869186 | 6 | 01/03/2011 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Eric Claude Brooks | 4796746 | 1 | 02/10/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |