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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Andrew Niemczyk | 2170335 | 6 | 04/26/2021 | Customer Dispute | Settled | $95,027.40 | $0.00 | See FINRA Report |
| Dieter Howard Huber | 2742065 | 4 | 04/26/2021 | Customer Dispute | Settled | $125,820.00 | $0.00 | See FINRA Report |
| Alain Alberto Ohayon | 1180975 | 8 | 04/19/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michelle Perres | 4350152 | 3 | 04/01/2021 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Corey Alexander Johnson | 5752206 | 1 | 03/24/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Y Jung | 4922155 | 2 | 03/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edison Kelly | 2877415 | 23 | 12/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Joseph Karjanis | 5280862 | 1 | 11/22/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 10/27/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edison Kelly | 2877415 | 23 | 06/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |