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 |
|---|---|---|---|---|---|---|---|---|
| Alain Alberto Ohayon | 1180975 | 8 | 04/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 04/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Clarke | 1304837 | 10 | 04/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edison Kelly | 2877415 | 23 | 03/25/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harold Weber | 1047064 | 5 | 03/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Rodriguez | 4179019 | 1 | 01/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barney Greengrass | 731181 | 5 | 12/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ghazaleh Kayvan Ebrahimi | 2873246 | 3 | 11/15/2018 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 11/01/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Todd Mitchell Cohen | 2918824 | 6 | 10/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |