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 |
|---|---|---|---|---|---|---|---|---|
| Peter Raymond Dorn | 1089858 | 4 | 05/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William S Morris | 1793507 | 1 | 03/10/2014 | Customer Dispute | Denied | $29,416.00 | $0.00 | See FINRA Report |
| Kenneth Ray Bailey | 4956818 | 1 | 10/17/2008 | Customer Dispute | Denied | $5,769.55 | $0.00 | See FINRA Report |
| Costa Tzotzis | 3102114 | 4 | 09/09/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Jacobs | 4658235 | 3 | 02/06/2007 | Customer Dispute | Denied | $278,701.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 12/14/2005 | Customer Dispute | Denied | $29,961.60 | $0.00 | See FINRA Report |
| Danny Kevin Brandon | 2769024 | 2 | 11/03/2004 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |