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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Mauk | 5915472 | 1 | 03/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Costa Tzotzis | 3102114 | 4 | 01/26/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerald Paul Dietz | 4032865 | 6 | 12/19/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Javier Hernandez | 2298668 | 7 | 05/13/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Greeson Enochs | 2352020 | 2 | 03/01/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |