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 |
|---|---|---|---|---|---|---|---|---|
| Jeffery Harold Hattaway | 6046067 | 1 | 05/11/2020 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Matthew Steven Gaer | 2301493 | 2 | 04/14/2020 | Customer Dispute | Withdrawn | $150,000.00 | $0.00 | See FINRA Report |
| Nicholas E Trifiro | 2682851 | 2 | 03/18/2020 | Customer Dispute | Denied | $34,400.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 6 | 03/09/2020 | Customer Dispute | Settled | $95,596.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 03/09/2020 | Customer Dispute | Settled | $50,668.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 02/26/2020 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |
| Ghazaleh Kayvan Ebrahimi | 2873246 | 3 | 02/19/2020 | Customer Dispute | Settled | $128,000.00 | $0.00 | See FINRA Report |
| John Albert Oeming | 858703 | 1 | 02/17/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Robert Clarke | 1304837 | 10 | 12/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Steven Gaer | 2301493 | 2 | 09/29/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |