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 |
|---|---|---|---|---|---|---|---|---|
| H Edward Burgess | 2812262 | 1 | 09/26/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| 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 |
| James Brian Moran | 1180416 | 2 | 05/15/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charity Colahan Donnan | 2404164 | 1 | 01/23/2001 | Customer Dispute | Withdrawn | $7,106.00 | $0.00 | See FINRA Report |
| Roy Timothy Tepper | 1788251 | 4 | 05/26/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Norman Kenneth Marshall | 715607 | 2 | 03/15/2000 | Customer Dispute | Award / Judgment | $700,000.00 | $150,000.00 | See FINRA Report |
| Roy Timothy Tepper | 1788251 | 4 | 02/02/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Marc McKoy | 2178904 | 2 | 12/29/1999 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| James Brian Moran | 1180416 | 2 | 11/17/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |