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 |
|---|---|---|---|---|---|---|---|---|
| Paul Joseph Jacobs | 4658235 | 3 | 05/13/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Leon Walker | 6685668 | 3 | 10/01/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vladimir Richard David | 5624482 | 1 | 11/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anny Riveron | 2973618 | 2 | 06/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harold James Knight | 4220303 | 2 | 09/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 09/30/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Francis Schlagheck | 1040673 | 5 | 04/03/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |