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 |
|---|---|---|---|---|---|---|---|---|
| Jerome Anthony Messana | 712315 | 15 | 09/24/2000 | Customer Dispute | Settled | $390,000.00 | $0.00 | See FINRA Report |
| Brian McKevitt | 2446307 | 2 | 07/27/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam Douglas Lorraine | 2424747 | 6 | 06/01/2000 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Michael Dougherty | 1009839 | 3 | 12/16/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Gerald Richard Sharpe | 2109210 | 5 | 11/01/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Finnie | 2112495 | 4 | 09/01/1999 | Customer Dispute | Settled | $7,225.45 | $0.00 | See FINRA Report |
| Samuel Noah Tenzer | 2270881 | 4 | 04/06/1999 | Customer Dispute | Settled | $284,687.00 | $0.00 | See FINRA Report |
| Michael Nunzio Diconza | 1090996 | 2 | 03/29/1999 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 02/05/1999 | Customer Dispute | Settled | $158,600.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 03/11/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |