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 |
|---|---|---|---|---|---|---|---|---|
| John Stevenson Miller | 2139980 | 3 | 04/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hector Crespo | 3015246 | 6 | 02/02/2004 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| James Wright | 1629437 | 6 | 01/14/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Marc Alan Liberman | 1678285 | 1 | 01/05/2004 | Customer Dispute | Settled | $162,500.00 | $0.00 | See FINRA Report |
| Michael Francis Jennetta | 2255867 | 4 | 11/25/2003 | Customer Dispute | Settled | $24,558.40 | $0.00 | See FINRA Report |
| Benjamin Matthew Greenberg | 2855282 | 1 | 11/13/2003 | Customer Dispute | Settled | $565,000.00 | $0.00 | See FINRA Report |
| David Philip Gershoni | 2138675 | 5 | 11/10/2003 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| Arturo Jesus Rodriguez Diaz | 1301783 | 4 | 09/30/2003 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Dieter Howard Huber | 2742065 | 4 | 09/22/2003 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Nicholas George Tsikitas | 2871712 | 4 | 07/11/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |