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 |
|---|---|---|---|---|---|---|---|---|
| Erik Maugeri | 2530113 | 2 | 04/08/2003 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Arturo Jesus Rodriguez Diaz | 1301783 | 4 | 04/03/2003 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 03/27/2003 | Customer Dispute | Settled | $8,200.00 | $0.00 | See FINRA Report |
| James Wright | 1629437 | 6 | 03/06/2003 | Customer Dispute | Denied | $46,537.00 | $0.00 | See FINRA Report |
| Peter Chiasson Jones | 709140 | 1 | 01/31/2003 | Customer Dispute | Award / Judgment | $457,000.00 | $40,000.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 01/13/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 11/25/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Dieter Howard Huber | 2742065 | 4 | 11/05/2002 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| Michael Robert Finnie | 2112495 | 4 | 10/28/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 08/19/2002 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |