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 |
|---|---|---|---|---|---|---|---|---|
| Javier Hernandez | 2298668 | 7 | 04/29/1999 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 11/05/1998 | Customer Dispute | Closed-No Action | $4,500.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 09/09/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anny Riveron | 2973618 | 2 | 06/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 05/20/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Hernandez | 2298668 | 7 | 01/27/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Greeson Enochs | 2352020 | 2 | 03/01/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wyatt Edward Vaught | 453858 | 8 | 09/30/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 06/26/1986 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Wyatt Edward Vaught | 453858 | 8 | 01/22/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |