Our Staff has compiled our research into a database of FINRA Broker Disclosures for Corecap Investments, LLC. 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 |
---|---|---|---|---|---|---|---|---|
Jeffrey Harry Klauenberg | 1110287 | 1 | 08/16/2016 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
Steven Craig Conners | 1939727 | 3 | 04/25/2016 | Customer Dispute | Settled | $78,212.90 | $0.00 | See FINRA Report |
Steven Craig Conners | 1939727 | 3 | 06/18/2013 | Customer Dispute | Denied | $21,545.00 | $0.00 | See FINRA Report |
Peter Timothy Frawley | 4827671 | 7 | 06/07/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
Raymond Max Pett | 2357041 | 5 | 10/06/2012 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
Steven Paul Azoury | 733604 | 3 | 02/03/2010 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
Peter Timothy Frawley | 4827671 | 7 | 06/04/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Daniel James Laginess | 3055560 | 1 | 11/20/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
Steven Robert Seibel | 1140576 | 1 | 07/26/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Mark Ambrose Powers | 1098678 | 1 | 02/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |