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 |
|---|---|---|---|---|---|---|---|---|
| William Jeffrey Carlton | 1132967 | 11 | 02/13/2012 | Customer Dispute | Settled | $461,000.00 | $0.00 | See FINRA Report |
| Frank Robert Lee | 2607092 | 4 | 01/25/2012 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 01/17/2012 | Customer Dispute | Withdrawn | $16,700.00 | $0.00 | See FINRA Report |
| Michael J Rosado | 4276400 | 2 | 12/15/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frank Robert Lee | 2607092 | 4 | 11/25/2011 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| John Robert Clarke | 1304837 | 10 | 09/22/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Clarke | 1304837 | 10 | 08/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert Clarke | 1304837 | 10 | 08/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Dvorznak | 2809819 | 3 | 07/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas George Tsikitas | 2871712 | 4 | 07/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |