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 |
|---|---|---|---|---|---|---|---|---|
| David Perez | 4422512 | 5 | 10/30/2014 | Customer Dispute | Closed-No Action | $79,548.00 | $0.00 | See FINRA Report |
| Anthony Gerald Polak | 1893810 | 4 | 07/29/2014 | Customer Dispute | Closed-No Action | $91,000.00 | $0.00 | See FINRA Report |
| Andrew George Gergatsoulis | 1912483 | 2 | 06/23/2014 | Customer Dispute | Settled | $577,600.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 03/07/2014 | Customer Dispute | Settled | $311,287.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 01/31/2014 | Customer Dispute | Settled | $91,567.00 | $0.00 | See FINRA Report |
| David Perez | 4422512 | 5 | 11/06/2013 | Customer Dispute | Settled | $90,800.00 | $0.00 | See FINRA Report |
| Michael Raymond Gimeli | 2197242 | 1 | 08/22/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Michael Francis Jennetta | 2255867 | 4 | 05/22/2013 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 02/13/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 01/28/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |