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 |
|---|---|---|---|---|---|---|---|---|
| Philip Gerard Ciantro | 2350685 | 1 | 03/29/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Bruce Phillips | 2239471 | 2 | 03/27/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Danny Ray Strain | 437903 | 2 | 11/01/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Gary Leo Wargo | 4915239 | 2 | 10/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Danny Ray Strain | 437903 | 2 | 09/14/2023 | Customer Dispute | Pending | $191,000.00 | $0.00 | See FINRA Report |
| Samuel Bruce Phillips | 2239471 | 2 | 01/31/2023 | Customer Dispute | Settled | $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 | |
| Joshua Mauk | 5915472 | 1 | 03/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Raymond Dorn | 1089858 | 4 | 03/11/2022 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| George Paul Fill | 5396631 | 3 | 10/28/2021 | Customer Dispute | Closed-No Action | $147,555.00 | $0.00 | See FINRA Report |