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 |
| Mark Alan Outten | 2595283 | 1 | 10/29/2007 | Customer Dispute | Denied | $10,336.00 | $0.00 | See FINRA Report |
| Anthony Francis Nicoletti | 347925 | 2 | 09/05/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Todd Ferree | 3235157 | 1 | 06/27/2007 | Customer Dispute | Denied | $15,474.60 | $0.00 | See FINRA Report |
| John R Trentanove | 2969655 | 1 | 04/28/2006 | Customer Dispute | Settled | $21,367.80 | $0.00 | See FINRA Report |
| Brett Stephen Briggs | 1226255 | 10 | 04/21/2006 | Customer Dispute | Award / Judgment | $1,150,000.00 | $2,529.00 | 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 |
| Georgios Manou | 4240321 | 2 | 09/07/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |