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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Edison Kelly | 2877415 | 23 | 07/30/2018 | Customer Dispute | Settled | $211,844.00 | $0.00 | See FINRA Report |
| Harold Weber | 1047064 | 5 | 04/02/2018 | Customer Dispute | Settled | $274,412.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 03/16/2018 | Customer Dispute | Closed-No Action | $98,575.00 | $0.00 | See FINRA Report |
| Scott Wayne Powell | 2764902 | 1 | 02/14/2018 | Customer Dispute | Settled | $262,197.00 | $0.00 | See FINRA Report |
| Rick John Sande | 4967095 | 3 | 02/12/2018 | Customer Dispute | Settled | $31,627.00 | $0.00 | See FINRA Report |
| Barry Alan Goldstein | 3083904 | 2 | 02/12/2018 | Customer Dispute | Settled | $31,627.00 | $0.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 02/12/2018 | Customer Dispute | Settled | $32,398.00 | $0.00 | See FINRA Report |
| Arkady Ginsburg | 5256747 | 3 | 02/12/2018 | Customer Dispute | Settled | $32,398.00 | $0.00 | See FINRA Report |
| Anthony Gerald Polak | 1893810 | 4 | 02/08/2018 | Customer Dispute | Closed-No Action | $7,927.46 | $0.00 | See FINRA Report |
| Harold Weber | 1047064 | 5 | 06/09/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |