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 |
|---|---|---|---|---|---|---|---|---|
| Guy Gregory Clemente | 1222597 | 12 | 12/21/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 12/14/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jilena Yuen-Han Mok | 6115674 | 3 | 11/30/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jilena Yuen-Han Mok | 6115674 | 3 | 11/14/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Charles Weiss | 6838267 | 2 | 11/13/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alain Alberto Ohayon | 1180975 | 8 | 11/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerome Anthony Messana | 712315 | 15 | 10/04/2023 | Customer Dispute | Settled | $470,000.00 | $0.00 | See FINRA Report |
| Eric William Davidson | 2731195 | 4 | 08/22/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Andrew Michael Brookman | 3166671 | 4 | 06/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Anthony Iannazzo | 2807988 | 3 | 06/23/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |