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 | 05/06/2011 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Samuel Noah Tenzer | 2270881 | 4 | 04/14/2011 | Customer Dispute | Denied | $7,400.00 | $0.00 | See FINRA Report |
| Anthony Gerald Polak | 1893810 | 4 | 04/04/2011 | Customer Dispute | Denied | $36,913.00 | $0.00 | See FINRA Report |
| Ralph Anthony Savino | 2714233 | 6 | 03/07/2011 | Customer Dispute | Closed-No Action | $5,520.00 | $0.00 | See FINRA Report |
| Jesse Taylor Hawkins | 6765658 | 2 | 01/29/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Taylor Hawkins | 6765658 | 2 | 01/29/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Asa Lee Savage | 2865878 | 1 | 01/24/2011 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Crispino | 2361097 | 4 | 01/20/2011 | Customer Dispute | Settled | $247,435.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 11/19/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Hutchins Egener | 1226896 | 1 | 10/22/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |