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 |
|---|---|---|---|---|---|---|---|---|
| Gilbert Anthony Kuta | 1084075 | 16 | 01/31/2014 | Customer Dispute | Settled | $91,567.00 | $0.00 | See FINRA Report |
| James Wright | 1629437 | 6 | 01/21/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Perez | 4422512 | 5 | 11/06/2013 | Customer Dispute | Settled | $90,800.00 | $0.00 | See FINRA Report |
| Edward Joseph Horvath | 2492170 | 3 | 10/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Raymond Gimeli | 2197242 | 1 | 08/22/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Dhruva I Sethna | 2482381 | 2 | 06/17/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Francis Jennetta | 2255867 | 4 | 05/22/2013 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 02/13/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 01/28/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley James Crouch | 1259928 | 3 | 01/07/2013 | Customer Dispute | Settled | $430,000.00 | $0.00 | See FINRA Report |