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 |
|---|---|---|---|---|---|---|---|---|
| Shannon Marie Ryan | 4394858 | 12 | 01/16/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Shannon Marie Ryan | 4394858 | 12 | 12/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest R Wingard | 2529541 | 1 | 12/06/2018 | Customer Dispute | Denied | $148,000.00 | $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 |
| David Lee Howard | 2778581 | 1 | 10/30/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Max Pett | 2357041 | 5 | 04/16/2018 | Customer Dispute | Settled | $590,708.00 | $0.00 | See FINRA Report |
| Holly Marie Maurer | 2764991 | 3 | 03/15/2018 | Customer Dispute | Settled | $222,000.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 01/26/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 12/18/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |