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 |
|---|---|---|---|---|---|---|---|---|
| Guy Gregory Clemente | 1222597 | 12 | 01/16/1996 | Customer Dispute | Award / Judgment | $103,130.00 | $165,000.00 | See FINRA Report |
| Guy Gregory Clemente | 1222597 | 12 | 12/11/1995 | Customer Dispute | Award / Judgment | $110,000.00 | $32,400.00 | See FINRA Report |
| Guy Gregory Clemente | 1222597 | 12 | 11/03/1995 | Customer Dispute | Award / Judgment | $71,000.00 | $25,000.00 | See FINRA Report |
| John Robert Clarke | 1304837 | 10 | 11/01/1995 | Customer Dispute | Settled | $488,816.00 | $0.00 | See FINRA Report |
| Guy Gregory Clemente | 1222597 | 12 | 10/09/1995 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| John Robert Clarke | 1304837 | 10 | 06/29/1995 | Customer Dispute | Settled | $361,785.00 | $0.00 | See FINRA Report |
| Matthew Roger Miller | 719360 | 4 | 03/17/1995 | Customer Dispute | Award / Judgment | $97,084.00 | $30,000.00 | See FINRA Report |
| Douglas John McCaslin | 1528281 | 3 | 03/17/1995 | Customer Dispute | Award / Judgment | $97,084.00 | $30,000.00 | See FINRA Report |
| Robert Michael Dougherty | 1009839 | 3 | 01/20/1995 | Customer Dispute | Award / Judgment | $253,000.00 | $9,000.00 | See FINRA Report |
| Alain Alberto Ohayon | 1180975 | 8 | 12/28/1994 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |