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 | 04/16/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lawrence Joseph Najvar | 1425782 | 3 | 03/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Edward James Jeffery | 2296293 | 3 | 03/11/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Jennetta | 2255867 | 4 | 02/23/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Steven Dubinsky | 2699892 | 3 | 02/17/2009 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 02/10/2009 | Customer Dispute | Denied | $23,368.50 | $0.00 | See FINRA Report |
| Phillip G Farmer | 2306865 | 6 | 01/26/2009 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 01/23/2009 | Customer Dispute | Denied | $11,356.50 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 01/05/2009 | Customer Dispute | Denied | $153,713.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 12/08/2008 | Customer Dispute | Settled | $4,570,400.00 | $0.00 | See FINRA Report |