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 |
|---|---|---|---|---|---|---|---|---|
| Rick John Sande | 4967095 | 3 | 03/08/2016 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Frank Alexander Ballinger | 873485 | 2 | 03/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Noah Tenzer | 2270881 | 4 | 02/01/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ralph Anthony Savino | 2714233 | 6 | 01/28/2016 | Customer Dispute | Settled | $20,795.00 | $0.00 | See FINRA Report |
| Harold Weber | 1047064 | 5 | 01/14/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Phillip G Farmer | 2306865 | 6 | 12/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip G Farmer | 2306865 | 6 | 12/07/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 10/21/2015 | Customer Dispute | Settled | $1,264,360.00 | $0.00 | See FINRA Report |
| Kevin James Farrow | 4840279 | 5 | 09/21/2015 | Customer Dispute | Settled | $12,572.00 | $0.00 | See FINRA Report |
| Bruce Stark | 2912344 | 6 | 08/21/2015 | Customer Dispute | Settled | $534,150.00 | $0.00 | See FINRA Report |