Our Staff has compiled our research into a database of FINRA Broker Disclosures for Aegis Capital Corp.. 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 |
|---|---|---|---|---|---|---|---|---|
| Alvery Anthony Bartlett | 13975 | 6 | 12/27/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dominick Joseph Diorio | 2447817 | 3 | 12/15/2022 | Customer Dispute | Pending | $62,468.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 5 | 12/15/2022 | Customer Dispute | Pending | $203,007.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 21 | 12/15/2022 | Customer Dispute | Pending | $60,129.00 | $0.00 | See FINRA Report |
| Frank Giacalone | 4314174 | 4 | 12/15/2022 | Customer Dispute | Pending | $139,224.00 | $0.00 | See FINRA Report |
| Jason Tom Rossi | 4384426 | 3 | 12/15/2022 | Customer Dispute | Pending | $203,007.00 | $0.00 | See FINRA Report |
| Dennis Daniel Herrera | 4618370 | 2 | 12/15/2022 | Customer Dispute | Withdrawn | $407,235.00 | $0.00 | See FINRA Report |
| Marinos Ballas | 2843677 | 2 | 12/14/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Matthew Bradley Mitchell | 4854608 | 1 | 12/08/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hector Crespo | 3015246 | 8 | 11/30/2022 | Customer Dispute | Pending | $1,189,000.00 | $0.00 | See FINRA Report |