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 |
|---|---|---|---|---|---|---|---|---|
| Frank Giacalone | 4314174 | 4 | 05/01/2024 | Customer Dispute | Settled | $39,668.30 | $0.00 | See FINRA Report |
| Lawrence Joseph Najvar | 1425782 | 3 | 04/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alain Alberto Ohayon | 1180975 | 8 | 03/20/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas John McCaslin | 1528281 | 3 | 03/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gilbert Anthony Kuta | 1084075 | 16 | 03/12/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Yong Yi | 5732044 | 1 | 03/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Maxito Pierre Isenhower | 5625384 | 1 | 03/06/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bruce Stark | 2912344 | 6 | 02/15/2024 | Customer Dispute | Denied | $71,552.30 | $0.00 | See FINRA Report |
| Matthew Bradley Mitchell | 4854608 | 2 | 01/18/2024 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Jonathon Mark Webster | 1286778 | 2 | 01/18/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |