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 |
|---|---|---|---|---|---|---|---|---|
| Eric William Davidson | 2731195 | 4 | 05/16/2006 | Customer Dispute | Settled | $2,750,000.00 | $0.00 | See FINRA Report |
| Mark Douglas Panfil | 1875773 | 2 | 04/17/2006 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Clayton K Shum | 4412927 | 3 | 02/06/2006 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 12/20/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric William Davidson | 2731195 | 4 | 12/12/2005 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Matthew Roger Miller | 719360 | 4 | 12/12/2005 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Barry Alan Goldstein | 3083904 | 2 | 07/29/2005 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Raymond Walter Robert Borota | 1950804 | 2 | 04/21/2005 | Customer Dispute | Settled | $17,777.60 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 01/24/2005 | Customer Dispute | Settled | $145,000.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Thure | 2687213 | 3 | 11/18/2004 | Customer Dispute | Denied | $15,780.00 | $0.00 | See FINRA Report |