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 |
|---|---|---|---|---|---|---|---|---|
| James Anthony Iannazzo | 2807988 | 3 | 04/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Crispino | 2361097 | 4 | 03/23/2015 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Samuel Noah Tenzer | 2270881 | 4 | 04/14/2011 | Customer Dispute | Denied | $7,400.00 | $0.00 | See FINRA Report |
| Anthony Gerald Polak | 1893810 | 4 | 04/04/2011 | Customer Dispute | Denied | $36,913.00 | $0.00 | See FINRA Report |
| Phillip G Farmer | 2306865 | 6 | 02/18/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 05/06/2009 | Customer Dispute | Denied | $284.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 04/16/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lawrence Joseph Najvar | 1425782 | 3 | 03/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 02/10/2009 | Customer Dispute | Denied | $23,368.50 | $0.00 | See FINRA Report |
| Phillip G Farmer | 2306865 | 6 | 01/26/2009 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |