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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Gayle Alley | 1571590 | 3 | 01/22/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jerry Gayle Alley | 1571590 | 3 | 01/20/1999 | Customer Dispute | Settled | $9,850.00 | $0.00 | See FINRA Report |
| Ian Greenblatt | 2276966 | 5 | 11/10/1998 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Steven Francis Marascia | 1010674 | 1 | 06/23/1998 | Customer Dispute | Closed-No Action | $13,119.30 | $0.00 | See FINRA Report |
| Christopher J Cowans | 1684420 | 8 | 01/13/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher J Cowans | 1684420 | 8 | 01/13/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Augustine Dellastua | 1920118 | 2 | 10/29/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roy Timothy Tepper | 1788251 | 4 | 08/21/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Oftring | 1058581 | 3 | 11/11/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Anthony Pepe | 2296683 | 2 | 11/22/1994 | Customer Dispute | Award / Judgment | $6,720.00 | $3,360.00 | See FINRA Report |