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 |
|---|---|---|---|---|---|---|---|---|
| Michael Robert Finnie | 2112495 | 4 | 10/28/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Gilbert Anthony Kuta | 1084075 | 16 | 08/19/2002 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Guy Gregory Clemente | 1222597 | 12 | 07/30/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stevenson Miller | 2139980 | 3 | 07/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Nunzio Diconza | 1090996 | 2 | 07/09/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Philip Gershoni | 2138675 | 5 | 06/18/2002 | Customer Dispute | Settled | $1,751,070.00 | $0.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 06/17/2002 | Customer Dispute | Settled | $78,000.00 | $0.00 | See FINRA Report |
| Matthew Roger Miller | 719360 | 4 | 04/11/2002 | Customer Dispute | Settled | $113,434.00 | $0.00 | See FINRA Report |
| David Philip Gershoni | 2138675 | 5 | 03/27/2002 | Customer Dispute | Settled | $847,210.00 | $0.00 | See FINRA Report |
| Nicholas E Trifiro | 2682851 | 2 | 02/05/2002 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |