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 |
|---|---|---|---|---|---|---|---|---|
| Costa Tzotzis | 3102114 | 4 | 02/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Wayne Yager | 5691174 | 4 | 06/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Joseph Jacobs | 4658235 | 3 | 05/13/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 12/07/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Raymond Dorn | 1089858 | 4 | 08/08/2011 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| Klaine Michael Doucette | 2442839 | 1 | 07/06/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Henry Jones | 2739007 | 1 | 05/06/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Costa Tzotzis | 3102114 | 4 | 01/26/2011 | Employment Separation After Allegations | $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 |