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 | 05/04/2009 | Regulatory | Final | $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 | 12/19/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harold James Knight | 4220303 | 1 | 11/04/2008 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Kenneth Ray Bailey | 4956818 | 1 | 10/17/2008 | Customer Dispute | Denied | $5,769.55 | $0.00 | See FINRA Report |
| Gerald Paul Dietz | 4032865 | 6 | 10/10/2008 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Costa Tzotzis | 3102114 | 4 | 09/09/2008 | Customer Dispute | Denied | $0.00 | $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 |