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 |
|---|---|---|---|---|---|---|---|---|
| Jamison Richard Banna | 5409034 | 2 | 08/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Charles Jaskulski | 5719998 | 1 | 07/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Stochek Levine | 2343564 | 1 | 04/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane McElmurray Morrow | 1653686 | 2 | 03/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane McElmurray Morrow | 1653686 | 2 | 05/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Leon Walker | 6685668 | 3 | 02/17/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Jacobs | 4658235 | 3 | 12/31/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Leon Walker | 6685668 | 3 | 03/06/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Amanda Conn | 6116432 | 1 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Earle Redfearn | 2771876 | 1 | 11/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |