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 | 09/08/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 06/27/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Bruce Stark | 2912344 | 6 | 06/21/2022 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 6 | 05/17/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Aret Gugin | 2731291 | 1 | 05/17/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Christopher Adam Knutson | 2997006 | 4 | 05/17/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 04/18/2022 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Andrew Peters | 5348622 | 1 | 03/23/2022 | Customer Dispute | Settled | $252,000.00 | $0.00 | See FINRA Report |
| Andrew Michael Brookman | 3166671 | 4 | 03/09/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Adam Knutson | 2997006 | 4 | 02/24/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |