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 | 01/23/2009 | Customer Dispute | Denied | $11,356.50 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 01/05/2009 | Customer Dispute | Denied | $153,713.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 11/28/2008 | Customer Dispute | Denied | $9,091.20 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 11/24/2008 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Gerald Warren Seigel | 418229 | 2 | 12/21/2007 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 07/09/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 02/04/2007 | Customer Dispute | Denied | $20,628.00 | $0.00 | See FINRA Report |
| Ralph Anthony Savino | 2714233 | 6 | 12/21/2006 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Ralph Anthony Savino | 2714233 | 6 | 12/20/2006 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Edward Joseph Horvath | 2492170 | 3 | 10/25/2006 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |