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 |
|---|---|---|---|---|---|---|---|---|
| William Lee Notrica | 817537 | 10 | 07/09/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Dessjuk | 2445130 | 1 | 06/21/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 04/04/2007 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 03/14/2007 | Customer Dispute | Closed-No Action | $9,000.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 03/02/2007 | Customer Dispute | Closed-No Action | $18,985.30 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 02/04/2007 | Customer Dispute | Denied | $20,628.00 | $0.00 | See FINRA Report |
| Ralph Anthony Savino | 2714233 | 6 | 12/21/2006 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Ralph Anthony Savino | 2714233 | 6 | 12/20/2006 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 11/29/2006 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Adam Douglas Lorraine | 2424747 | 6 | 11/22/2006 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |