Our Staff has compiled our research into a database of FINRA Broker Disclosures for Capital One Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Portz Souza | 5983552 | 1 | 01/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathryne E Micken | 5036578 | 1 | 05/12/2008 | Customer Dispute | Settled | $17,700.00 | $0.00 | See FINRA Report |
| William Lewis Thompson | 3112864 | 1 | 07/22/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Wesley Smith | 2796112 | 1 | 01/17/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |