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 | 03/11/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Jay Eide | 1015261 | 3 | 02/02/1998 | Customer Dispute | Settled | $356,742.00 | $0.00 | See FINRA Report |
| Gerald Richard Sharpe | 2109210 | 5 | 12/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Andrew Niemczyk | 2170335 | 6 | 01/29/1997 | Customer Dispute | Award / Judgment | $90,685.00 | $5,525.00 | See FINRA Report |
| Guy Gregory Clemente | 1222597 | 12 | 12/10/1996 | Customer Dispute | Award / Judgment | $178,346.00 | $40,000.00 | See FINRA Report |
| John Robert Clarke | 1304837 | 10 | 11/06/1996 | Customer Dispute | Settled | $430,484.00 | $0.00 | See FINRA Report |
| Thomas Andrew Niemczyk | 2170335 | 6 | 10/07/1996 | Customer Dispute | Settled | $34,107.00 | $0.00 | See FINRA Report |
| Matthew Roger Miller | 719360 | 4 | 07/01/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Andrew Niemczyk | 2170335 | 6 | 04/10/1996 | Customer Dispute | Settled | $12,675.10 | $0.00 | See FINRA Report |
| Raymond Walter Robert Borota | 1950804 | 2 | 02/26/1996 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |