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 |
|---|---|---|---|---|---|---|---|---|
| Brian McKevitt | 2446307 | 2 | 11/18/2004 | Customer Dispute | Settled | $178,058.00 | $0.00 | See FINRA Report |
| David Stewart Silberg | 1970484 | 7 | 11/10/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Victor Roy Saul | 1123060 | 3 | 09/09/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sergio M Rovner | 2884441 | 8 | 07/15/2004 | Customer Dispute | Settled | $34,200.00 | $0.00 | See FINRA Report |
| Bruce Stark | 2912344 | 6 | 06/23/2004 | Customer Dispute | Pending | $9,000.00 | $0.00 | See FINRA Report |
| Michael Wayne Burton | 4148661 | 1 | 06/03/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Stark | 2912344 | 6 | 05/17/2004 | Customer Dispute | Closed-No Action | $26,000.00 | $0.00 | See FINRA Report |
| Clayton K Shum | 4412927 | 3 | 04/25/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Stevenson Miller | 2139980 | 3 | 04/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 04/18/2004 | Customer Dispute | Denied | $163,000.00 | $0.00 | See FINRA Report |