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 |
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Kathryne E Micken | 5036578 | 1 | 05/12/2008 | Customer Dispute | Settled | $17,700.00 | $0.00 | See FINRA Report |