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 |
|---|---|---|---|---|---|---|---|---|
| Adam Douglas Lorraine | 2424747 | 6 | 11/22/2006 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Edward Joseph Horvath | 2492170 | 3 | 10/25/2006 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Steven D Ircha | 1523785 | 1 | 09/28/2006 | Customer Dispute | Award / Judgment | $710,000.00 | $679,737.00 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 09/12/2006 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 08/31/2006 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Steven Dubinsky | 2699892 | 3 | 08/31/2006 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 08/09/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glen Steven Davis | 1070334 | 1 | 07/11/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 06/06/2006 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 06/05/2006 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |