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 |
|---|---|---|---|---|---|---|---|---|
| Michael Francis Jennetta | 2255867 | 4 | 02/23/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Steven Dubinsky | 2699892 | 3 | 02/17/2009 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 12/08/2008 | Customer Dispute | Settled | $4,570,400.00 | $0.00 | See FINRA Report |
| Gerald Richard Sharpe | 2109210 | 5 | 06/26/2008 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Edward James Jeffery | 2296293 | 3 | 11/13/2007 | Customer Dispute | Settled | $151,891.00 | $0.00 | See FINRA Report |
| James Dessjuk | 2445130 | 1 | 06/21/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 04/04/2007 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Adam Douglas Lorraine | 2424747 | 6 | 11/22/2006 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 09/12/2006 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 06/06/2006 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |