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https://www.capesecurities.com/
Welcome to Cape Securities Welcome to the Cape family of companies, a financial center providing you with all the resources of a true financial concierge. Our mission is to create enterprise and individual success through the delivery of exceptional financial services.
https://www.glassdoor.com/Reviews/Cape-Securities-Reviews-E662111.htm
May 22, 2019 · Glassdoor has 18 Cape Securities reviews submitted anonymously by Cape Securities employees. Read employee reviews and ratings on Glassdoor to …3/5(18)
https://www.bbb.org/us/ga/mcdonough/profile/investment-security/cape-securities-inc-0443-27598786
See BBB rating, reviews, complaints, & more. Better Business Bureau ... Are you the business owner of Cape Securities, Inc.? Claim your listing. Business Details.
https://www.glassdoor.com/Overview/Working-at-Cape-Securities-EI_IE662111.11,26.htm
May 22, 2019 · Glassdoor gives you an inside look at what it's like to work at Cape Securities, including salaries, reviews, office photos, and more. This is the Cape Securities company profile. All content is posted anonymously by employees working at Cape Securities.5/5(18)
https://blog.rexsecuritieslaw.com/tag/cape-securities-complaint/
Cape Securities has been a FINRA member since 1976. It has 118 registered representatives who operate out of a main office in McDonough, Georgia, and 20 branch offices and 79 non-registered office locations. If you have an account with Cape Securities that has suffered losses, you may be entitled to damages. Call to discuss your legal options.
https://www.indeed.com/cmp/Cape-Securities/reviews
I have learned that working for a smaller company has given the opportunity to experience almost all aspects of the business. Being that Cape Securities is a smaller company with all the responsibilities of a larger sized broker dealer the employees must be cross trained and capable of preforming multiple different duties in the same day.3.2/5(13)
https://stockbrokerlawyer.com/cape-securities-alert/
Cape Securities took over Seacoast Investor Services Inc. in 2011. Cape Securities and their brokers have some history of FINRA violations and customer complaints. In particular, on August 8, 2013 Cape Fear Securities broker, Paul Elvidge Jr. was indicted for 36 counts of wire fraud and six counts of aggravated identity theft.
https://www.thesecuritiesattorney.com/cape-securities-2-regulatory-complaints/
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 11, 2019 indicate that Georgia-based brokerage firm Cape Securities has received regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who …
https://www.capesecurities.com/representative-portal/
Securities offered through Cape Securities, Inc., Member FINRA, SIPC, MSRB Registered. Advisory services offered through Cape Investment Advisory, Inc. Clearing services provided by Hilltop Securities, Inc. To review our Business Continuity Plan Disclosure, go ...
https://www.stopbrokerfraud.com/news/cape-securities-inc/
May 14, 2015 · Broker-dealer firm, Cape Securities, Inc. was fined $125,000 by the Financial Industry Regulatory Authority (FINRA) on May 5, 2015 for failing to supervise and prevent unsuitable investment recommendations and churning of customer accounts.
https://www.securitieslawyersblog.com/cape-securities-inc-fined-125000-for-failure-to-supervise/
Sep 18, 2015 · On May 5, 2015, the brokerage firm Cape Securities, Inc. (“Cape”) was fined $125,000 by the Financial Industry Regulatory Authority (FINRA) for failing to — September 18, 2015 — Cape Securities, Inc. Fined $125,000 for Failure to Supervise
https://www.bloomberg.com/profile/company/1375198D:US
Cape Securities, Inc. operates as a brokerage firm. The Company offers traditional stocks, bonds, and mutual funds to investors, as well as direct participation programs, unit investment trusts ...Founded: Feb 25, 1976
https://stockbrokerfraud.com/cape-securities-stockbroker-suspended-for-supervisory-failures/
Michael A. Lovett, a compliance officer with Cape Securities, Inc., was suspended from association in a principal capacity with any Financial Industry Regulatory Authority (FINRA) member firm and fined $5,000 after consenting to findings that he failed to adequately supervise the establishment of the firm’s supervisory system to detect and prevent conversion of customer funds.
https://www.stopbrokerfraud.com/news/shawn-evan-burns/
Jan 13, 2015 · Current Salomon Whitney and former Cape Securities broker, Shawn Evan Burns has two customer complaints pending arbitration with the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck Report.. The first complaint, filed July 21, 2014, alleges Shawn Evan Burns made unsuitable investment recommendations to the customer, specifically in over the counter …
https://www.securities-law-attorney.com/lon-faccini-jr/
Jun 08, 2018 · According to his BrokerCheck report, he has received four customer complaints and two pending customer complaints. In February 2018 a customer alleged Lon Facini, while employed at Cape Securities, recommended unsuitable investments that resulted in the loss of principal. The customer is seeking more than $28,300 in damages in the pending ...
https://www.israelsneuman.com/lon-faccini-cape-securities-complaints-lawsuits/
Lon Faccini, Jr. (CRD# 2736849) was a registered representative of Cape Securities from August 2010 to June 2016. He previously worked at a branch office in Coram, New York. Brokerage firms like Cape Securities have a responsibility to adequately supervise all …
https://www.cadwalader.com/resources/clients-friends-memos/2017-year-in-review--securities-litigation-and-regulation
2017 Year in Review: Securities Litigation and Regulation Jan 04, 2018 ... Securities Fraud: The Second Circuit confirmed the operative test to determine the materiality of an omission of interim financial information, and also held that national securities exchanges may face …
https://www.sec.gov/oiea/Complaint.html
Tell Us About Your Complaint * Please describe your complaint in as much detail as possible, including the full name(s) on the account, the exact type of account, the dates of specific transactions or conversations, the name or ticker symbol of the security(ies) involved, and the names of all the people at the firm you have contacted about this complaint.
https://blog.stoltmannlaw.com/paul-jacobs-cape-securities-mcdonough-georgia/
Mar 21, 2017 · Paul Jacobs, a McDonough, Georgia-based Cape Securities broker has been sanctioned by the Financial Industry Regulatory Authority (FINRA). FINRA alleged that Mr. Jacobs failed to establish and maintain a system to supervise the activities of his firm so as to achieve compliance with relevant securities laws and regulations.
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