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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Anthony Savino | 2714233 | 6 | 10/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 10/01/2018 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| David Stewart Silberg | 1970484 | 7 | 09/27/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Mitchell Cohen | 2918824 | 6 | 09/14/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 08/13/2018 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 07/30/2018 | Customer Dispute | Settled | $211,844.00 | $0.00 | See FINRA Report |
| John Robert Clarke | 1304837 | 10 | 07/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward James Jeffery | 2296293 | 3 | 06/27/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Mitchell Cohen | 2918824 | 6 | 04/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harold Weber | 1047064 | 5 | 04/02/2018 | Customer Dispute | Settled | $274,412.00 | $0.00 | See FINRA Report |