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 |
|---|---|---|---|---|---|---|---|---|
| Sergio M Rovner | 2884441 | 8 | 06/17/2002 | Customer Dispute | Settled | $78,000.00 | $0.00 | See FINRA Report |
| Matthew Roger Miller | 719360 | 4 | 04/11/2002 | Customer Dispute | Settled | $113,434.00 | $0.00 | See FINRA Report |
| David Philip Gershoni | 2138675 | 5 | 03/27/2002 | Customer Dispute | Settled | $847,210.00 | $0.00 | See FINRA Report |
| David Philip Gershoni | 2138675 | 5 | 01/22/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Mitchell Scott Fitter | 1241116 | 1 | 11/20/2001 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Dulisse | 2462370 | 2 | 08/30/2001 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| John James Garrity | 1389590 | 1 | 08/06/2001 | Customer Dispute | Settled | $243,000.00 | $0.00 | See FINRA Report |
| James Wright | 1629437 | 6 | 03/21/2001 | Customer Dispute | Settled | $5,311.58 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 03/20/2001 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 12/15/2000 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |