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 |
|---|---|---|---|---|---|---|---|---|
| Simone Pilar Lewis | 5930354 | 1 | 06/07/2023 | Judgment / Lien | $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 |