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 |
|---|---|---|---|---|---|---|---|---|
| Kevin James Farrow | 4840279 | 5 | 09/21/2015 | Customer Dispute | Settled | $12,572.00 | $0.00 | See FINRA Report |
| Bruce Stark | 2912344 | 6 | 08/21/2015 | Customer Dispute | Settled | $534,150.00 | $0.00 | See FINRA Report |
| Kevin James Farrow | 4840279 | 5 | 06/30/2015 | Customer Dispute | Settled | $99,511.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 06/22/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Erik Maugeri | 2530113 | 2 | 06/09/2015 | Customer Dispute | Settled | $107,970.00 | $0.00 | See FINRA Report |
| Frank Giacalone | 4314174 | 4 | 06/09/2015 | Customer Dispute | Settled | $107,970.00 | $0.00 | See FINRA Report |
| James Anthony Iannazzo | 2807988 | 3 | 04/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Crispino | 2361097 | 4 | 03/23/2015 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 01/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Michael Brookman | 3166671 | 4 | 12/22/2014 | Customer Dispute | Settled | $32,810.00 | $0.00 | See FINRA Report |