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 |
|---|---|---|---|---|---|---|---|---|
| William S Morris | 1793507 | 1 | 03/10/2014 | Customer Dispute | Denied | $29,416.00 | $0.00 | See FINRA Report |
| Peter Raymond Dorn | 1089858 | 4 | 08/08/2011 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |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 |
| Peter Raymond Dorn | 1089858 | 4 | 06/24/2010 | Customer Dispute | Settled | $838,333.00 | $0.00 | See FINRA Report |
| Stephen Greeson Enochs | 2352020 | 2 | 10/30/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 04/29/2009 | Customer Dispute | Settled | $11,581.00 | $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 |
| Kenneth Ray Bailey | 4956818 | 1 | 10/17/2008 | Customer Dispute | Denied | $5,769.55 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 10/10/2008 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Costa Tzotzis | 3102114 | 4 | 09/09/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |