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 |
|---|---|---|---|---|---|---|---|---|
| Dieter Howard Huber | 2742065 | 4 | 04/26/2021 | Customer Dispute | Settled | $125,820.00 | $0.00 | See FINRA Report |
| Alain Alberto Ohayon | 1180975 | 8 | 04/19/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michelle Perres | 4350152 | 3 | 04/01/2021 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 12/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Joseph Karjanis | 5280862 | 1 | 11/22/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffery Harold Hattaway | 6046067 | 1 | 05/11/2020 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Matthew Steven Gaer | 2301493 | 2 | 04/14/2020 | Customer Dispute | Withdrawn | $150,000.00 | $0.00 | See FINRA Report |
| Nicholas E Trifiro | 2682851 | 2 | 03/18/2020 | Customer Dispute | Denied | $34,400.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 6 | 03/09/2020 | Customer Dispute | Settled | $95,596.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 03/09/2020 | Customer Dispute | Settled | $50,668.00 | $0.00 | See FINRA Report |