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 |
|---|---|---|---|---|---|---|---|---|
| Jilena Yuen-Han Mok | 6115674 | 3 | 11/30/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jilena Yuen-Han Mok | 6115674 | 3 | 11/14/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Finnie | 2112495 | 4 | 01/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dominick Joseph Diorio | 2447817 | 3 | 12/15/2022 | Customer Dispute | Final | $62,468.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 6 | 12/15/2022 | Customer Dispute | Final | $203,007.00 | $0.00 | See FINRA Report |
| Frank Giacalone | 4314174 | 4 | 12/15/2022 | Customer Dispute | Final | $139,224.00 | $0.00 | See FINRA Report |
| Arkady Ginsburg | 5256747 | 3 | 06/28/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arkady Ginsburg | 5256747 | 3 | 03/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Brian Lascala | 3070261 | 7 | 01/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Giordano | 2278341 | 2 | 11/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |