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 |
|---|---|---|---|---|---|---|---|---|
| Edward Joseph Horvath | 2492170 | 3 | 10/25/2006 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Steven D Ircha | 1523785 | 1 | 09/28/2006 | Customer Dispute | Award / Judgment | $710,000.00 | $679,737.00 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 09/12/2006 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 08/31/2006 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Steven Dubinsky | 2699892 | 3 | 08/31/2006 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 06/06/2006 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 06/05/2006 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Eric William Davidson | 2731195 | 4 | 05/16/2006 | Customer Dispute | Settled | $2,750,000.00 | $0.00 | See FINRA Report |
| Mark Douglas Panfil | 1875773 | 2 | 04/17/2006 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Clayton K Shum | 4412927 | 3 | 02/06/2006 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |