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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Bruce Phillips | 2239471 | 2 | 01/31/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Peter Raymond Dorn | 1089858 | 4 | 03/11/2022 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| Narsing Venkat Kommireddi | 3005007 | 2 | 01/29/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Narsing Venkat Kommireddi | 3005007 | 2 | 03/27/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Raymond Dorn | 1089858 | 4 | 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 |