Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for KCD Financial Inc. from February 5, 2026, to the present and previously worked for Cape Securities Inc. from […]

Investors apparently complained about securities broker Samuel Bruce Phillips Jr. [CRD: 2239471, McDonough, Georgia], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Phillips worked for Cape Securities Inc. beginning July 7, 2016, and has also been registered with Cape Investment Advisory Inc. since July 7, 2016, and American Global Wealth Management […]

Investors possibly experienced sales practice violations by securities broker Nicholas John Schlagheck [CRD: 6950609, McDonough, Georgia], according to publicly available information on FINRA BrokerCheck. Evidently, Schlagheck worked for Cape Securities Inc. from August 29, 2022, to July 15, 2025; Lincoln Investment from June 26, 2020, to January 11, 2022; and Intervest International Equities Corporation from […]

Investors possibly experienced sales practice violations because of securities broker Peter Raymond Dorn [CRD: 1089858, McDonough, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Peter Dorn has worked for Cape Securities Inc. since June 16, 2017. Check out the following information about the securities broker’s disclosures. Cape Securities Inc. Investor Accused Dorn Of Unsuitable Recommendations […]

Cape Securities Broker Kevin Meadows Suspended For Excessive, Unsuitable Trading On January 28, 2020, the Financial Industry Regulatory Authority (“FINRA”) suspended Kevin Meadows (CRD#: 2878889, Columbus Georgia). Namely, the securities broker, who worked at Cape Securities (2013 to 2017), Lombard Securities (2018) and IBN Financial Services (2018 – present), accepted sanctions from the financial watchdog […]