October 2020- Shenandoah, TX According to publicly available records, Mark Sitter (CRD#1810591), a stockbroker formerly employed by Capital Financial Services, discloses a pending customer dispute and 3 prior customer disputes.…
read moreJanuary 2020-Minot, N. Dakota The FINRA records of Bart J. Bohrer , a broker who is currently employed by Calton & Associates disclose 3 pending customer disputes which seek, cumulatively, about…
read moreSeptember 2019 Capital Financial Services (CFS) , a brokerage firm with headquarters in Minot, North Dakota, recently notified its customers that it is closing down its business on or about…
read moreSeptember 2019 – Perham, MN CAPITAL FINANCIAL SERVICES CLOSING DOWN FIRM–see this for more information about the closing down of the firm and transfer of accounts to Calton & Associates. …
read moreFebruary 2019 – Baton Rouge, LA According to publicly available records Justin Brian Mitchell (CRD# 5177794) , a stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…
read moreFebruary 2019 – Clearwater, FL According to publicly available records William B. Gordon (CRD# 2127800) , a registered stockbroker currently employed by Capital Financial Services disclose a prior regulatory event, a pending…
read moreJanuary 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) , a registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…
read moreMay 2017-Tampa, FL The FINRA records of William D. Byrd , a stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry…
read moreMay 2017-Garland, TX The FINRA records of Steven Earle Blanke , a stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…
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