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 |
|---|---|---|---|---|---|---|---|---|
| James Wright | 1629437 | 6 | 01/11/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Finnie | 2112495 | 4 | 09/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Mitchell Cohen | 2918824 | 6 | 09/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harold Weber | 1047064 | 5 | 06/09/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Perez | 4422512 | 5 | 06/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Perez | 4422512 | 5 | 06/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Perez | 4422512 | 5 | 06/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Dvorznak | 2809819 | 3 | 04/20/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barney Greengrass | 731181 | 5 | 04/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Joseph Farrington | 6397412 | 1 | 03/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |