Our Staff has compiled our research into a database of FINRA Broker Disclosures for Capital & Estate 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 |
|---|---|---|---|---|---|---|---|---|
| John Charles Umber | 1501471 | 1 | 10/08/2004 | Customer Dispute | Settled | $733,378.00 | $0.00 | See FINRA Report |