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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Wright | 1629437 | 6 | 01/23/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 01/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Michael Brookman | 3166671 | 4 | 12/22/2014 | Customer Dispute | Settled | $32,810.00 | $0.00 | See FINRA Report |
| David Perez | 4422512 | 5 | 10/30/2014 | Customer Dispute | Closed-No Action | $79,548.00 | $0.00 | See FINRA Report |
| Robert Jay Eide | 1015261 | 3 | 10/21/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Charles McKenna | 1343870 | 2 | 08/12/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Gerald Polak | 1893810 | 4 | 07/29/2014 | Customer Dispute | Closed-No Action | $91,000.00 | $0.00 | See FINRA Report |
| Andrew George Gergatsoulis | 1912483 | 2 | 06/23/2014 | Customer Dispute | Settled | $577,600.00 | $0.00 | See FINRA Report |
| Todd Mitchell Cohen | 2918824 | 6 | 04/25/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 03/07/2014 | Customer Dispute | Settled | $311,287.00 | $0.00 | See FINRA Report |