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 |
|---|---|---|---|---|---|---|---|---|
| Henry J Liu | 2428803 | 8 | 01/23/2009 | Customer Dispute | Denied | $11,356.50 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 01/05/2009 | Customer Dispute | Denied | $153,713.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 12/08/2008 | Customer Dispute | Settled | $4,570,400.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 11/28/2008 | Customer Dispute | Denied | $9,091.20 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 11/24/2008 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Gerald Richard Sharpe | 2109210 | 5 | 06/26/2008 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Gerald Warren Seigel | 418229 | 2 | 12/21/2007 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Edward James Jeffery | 2296293 | 3 | 11/13/2007 | Customer Dispute | Settled | $151,891.00 | $0.00 | See FINRA Report |
| Jose Eduardo Torres Martinez | 3193555 | 1 | 08/28/2007 | Customer Dispute | Closed-No Action | $15,555.90 | $0.00 | See FINRA Report |
| Jeffrey Michael Thure | 2687213 | 3 | 07/31/2007 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |