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 |
|---|---|---|---|---|---|---|---|---|
| Stanley James Crouch | 1259928 | 3 | 01/07/2013 | Customer Dispute | Settled | $430,000.00 | $0.00 | See FINRA Report |
| Joseph Brian Lascala | 3070261 | 7 | 10/31/2012 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Joseph Brian Lascala | 3070261 | 7 | 08/27/2012 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Robert Spencer Bryce | 4276664 | 2 | 07/12/2012 | Customer Dispute | Settled | $12,700.00 | $0.00 | See FINRA Report |
| Joseph Brian Lascala | 3070261 | 7 | 05/28/2012 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Michelle Perres | 4350152 | 3 | 02/15/2012 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 02/13/2012 | Customer Dispute | Settled | $461,000.00 | $0.00 | See FINRA Report |
| Frank Robert Lee | 2607092 | 4 | 01/25/2012 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 01/17/2012 | Customer Dispute | Withdrawn | $16,700.00 | $0.00 | See FINRA Report |
| Michael J Rosado | 4276400 | 2 | 12/15/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |