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 |
|---|---|---|---|---|---|---|---|---|
| Erin Michelle Hoestje | 5012944 | 1 | 08/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Marie Ryan | 4394858 | 12 | 02/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Marie Ryan | 4394858 | 12 | 12/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Marie Ryan | 4394858 | 12 | 11/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Marie Ryan | 4394858 | 12 | 11/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 12/18/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Azoury | 733604 | 3 | 12/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Groves | 1625538 | 1 | 02/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott M Butler | 4780682 | 1 | 06/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 06/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |