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 |
|---|---|---|---|---|---|---|---|---|
| Kevin James Farrow | 4840279 | 5 | 07/22/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arturo Jesus Rodriguez Diaz | 1301783 | 4 | 07/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin James Farrow | 4840279 | 5 | 06/30/2015 | Customer Dispute | Settled | $99,511.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 06/22/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Erik Maugeri | 2530113 | 2 | 06/09/2015 | Customer Dispute | Settled | $107,970.00 | $0.00 | See FINRA Report |
| Frank Giacalone | 4314174 | 4 | 06/09/2015 | Customer Dispute | Settled | $107,970.00 | $0.00 | See FINRA Report |
| James Anthony Iannazzo | 2807988 | 3 | 04/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Crispino | 2361097 | 4 | 03/23/2015 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Scott Michael Wilson | 2468446 | 1 | 02/05/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Todd Mitchell Cohen | 2918824 | 6 | 01/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |