Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cape 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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Ray Barley | 5829571 | 2 | 01/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Karen Yvonne Geiger | 1456604 | 3 | 08/26/2022 | Customer Dispute | Pending | $1,070,000.00 | $0.00 | See FINRA Report |
| John Francis Schlagheck | 1040673 | 5 | 08/24/2022 | Customer Dispute | Pending | $565,000.00 | $0.00 | See FINRA Report |
| Danny Ray Strain | 437903 | 1 | 06/22/2022 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| John Francis Schlagheck | 1040673 | 5 | 06/01/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Glen Jay Barber | 2201253 | 2 | 05/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Raymond Dorn | 1089858 | 5 | 03/11/2022 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| George Paul Fill | 5396631 | 4 | 10/28/2021 | Customer Dispute | Closed-No Action | $147,555.00 | $0.00 | See FINRA Report |
| Michelle Fisher Osborne | 2256998 | 7 | 02/11/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jamison Richard Banna | 5409034 | 2 | 08/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |