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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Ray Barley | 5829571 | 2 | 09/05/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Raymond Dorn | 1089858 | 5 | 06/24/2010 | Customer Dispute | Settled | $838,333.00 | $0.00 | See FINRA Report |
| Stephen Greeson Enochs | 2352020 | 2 | 10/30/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 04/29/2009 | Customer Dispute | Settled | $11,581.00 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 10/10/2008 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 03/14/2008 | Customer Dispute | Settled | $12,835.80 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 01/23/2008 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 03/13/2007 | Customer Dispute | Settled | $204,245.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 05/26/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 05/14/1999 | Customer Dispute | Settled | $8,406.00 | $0.00 | See FINRA Report |