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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Karen Yvonne Geiger | 1456604 | 3 | 08/15/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Costa Tzotzis | 3102114 | 4 | 02/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Costa Tzotzis | 3102114 | 4 | 05/04/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anny Riveron | 2973618 | 2 | 11/22/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 09/09/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 05/20/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 01/27/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |