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 |
|---|---|---|---|---|---|---|---|---|
| Paul Joseph Jacobs | 4658235 | 3 | 02/06/2007 | Customer Dispute | Denied | $278,701.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 12/14/2005 | Customer Dispute | Denied | $29,961.60 | $0.00 | See FINRA Report |
| Danny Kevin Brandon | 2769024 | 2 | 11/03/2004 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| James Leon Walker | 6685668 | 3 | 10/01/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip Scott Leonard | 4906018 | 1 | 09/27/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danny Kevin Brandon | 2769024 | 2 | 09/17/2001 | Customer Dispute | Settled | $33,609.00 | $0.00 | See FINRA Report |
| Anny Riveron | 2973618 | 2 | 11/22/2000 | Regulatory | Final | $0.00 | $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 |
| Javier Hernandez | 2298668 | 7 | 05/13/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |