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 |
|---|---|---|---|---|---|---|---|---|
| William Jeffrey Carlton | 1132967 | 11 | 02/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Lawrence Feldman | 4409229 | 2 | 02/03/2017 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Glenn Douglas Glazer | 2183122 | 3 | 02/03/2017 | Customer Dispute | Withdrawn | $110,000.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 01/18/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Douglas John McCaslin | 1528281 | 3 | 01/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gilbert Anthony Kuta | 1084075 | 16 | 12/27/2016 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 11/10/2016 | Customer Dispute | Settled | $525,000.00 | $0.00 | See FINRA Report |
| Alain Alberto Ohayon | 1180975 | 8 | 10/12/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Giannantonio | 2309181 | 2 | 10/04/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Stewart Silberg | 1970484 | 7 | 08/30/2016 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |