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 |
|---|---|---|---|---|---|---|---|---|
| William Jeffrey Carlton | 1132967 | 11 | 06/28/2024 | Customer Dispute | Settled | $1,033,820.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 6 | 05/23/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 6 | 05/01/2024 | Customer Dispute | Settled | $39,668.30 | $0.00 | See FINRA Report |
| Frank Giacalone | 4314174 | 4 | 05/01/2024 | Customer Dispute | Settled | $39,668.30 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 03/12/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Anthony Messana | 712315 | 15 | 10/04/2023 | Customer Dispute | Settled | $470,000.00 | $0.00 | See FINRA Report |
| Andrew Michael Brookman | 3166671 | 4 | 06/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Adam Knutson | 2997006 | 4 | 06/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 04/11/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michelle Perres | 4350152 | 3 | 01/23/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |