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 |
|---|---|---|---|---|---|---|---|---|
| George Paul Fill | 5396631 | 3 | 06/20/2016 | Judgment / Lien | $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 |
| Narsing Venkat Kommireddi | 3005007 | 2 | 01/29/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Earle Redfearn | 2771876 | 1 | 11/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glen Jay Barber | 2201253 | 2 | 11/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Raymond Dorn | 1089858 | 4 | 05/21/2014 | Customer Dispute | Denied | $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 |
| William S Morris | 1793507 | 1 | 03/10/2014 | Customer Dispute | Denied | $29,416.00 | $0.00 | See FINRA Report |
| Larry Wayne Yager | 5691174 | 4 | 05/13/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |