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 |
|---|---|---|---|---|---|---|---|---|
| George Paul Fill | 5396631 | 3 | 10/28/2021 | Customer Dispute | Closed-No Action | $147,555.00 | $0.00 | See FINRA Report |
| Jamison Richard Banna | 5409034 | 2 | 12/05/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Klaine Michael Doucette | 2442839 | 1 | 07/06/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Harold James Knight | 4220303 | 1 | 11/04/2008 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 11/05/1998 | Customer Dispute | Closed-No Action | $4,500.00 | $0.00 | See FINRA Report |