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 |
|---|---|---|---|---|---|---|---|---|
| Glen Jay Barber | 2201253 | 2 | 11/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Wayne Yager | 5691174 | 4 | 05/13/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Wayne Yager | 5691174 | 4 | 06/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerald Paul Dietz | 4032865 | 6 | 12/07/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Henry Jones | 2739007 | 1 | 05/06/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |