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 |
|---|---|---|---|---|---|---|---|---|
| Todd Mitchell Cohen | 2918824 | 6 | 04/25/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Joseph Horvath | 2492170 | 3 | 10/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Robert Lee | 2607092 | 4 | 08/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Robert Lee | 2607092 | 4 | 08/13/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Spencer Bryce | 4276664 | 2 | 05/04/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adam Douglas Lorraine | 2424747 | 6 | 05/03/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Clarke | 1304837 | 10 | 09/22/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Clarke | 1304837 | 10 | 08/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Clarke | 1304837 | 10 | 08/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael J Rosado | 4276400 | 2 | 10/31/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |