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 |
|---|---|---|---|---|---|---|---|---|
| Jerome Anthony Messana | 712315 | 15 | 06/07/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Giannantonio | 2309181 | 2 | 03/29/2001 | Customer Dispute | Award / Judgment | $150,000.00 | $6,500.00 | See FINRA Report |
| James Wright | 1629437 | 6 | 03/21/2001 | Customer Dispute | Settled | $5,311.58 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 03/20/2001 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 12/15/2000 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Adam Douglas Lorraine | 2424747 | 6 | 09/26/2000 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jerome Anthony Messana | 712315 | 15 | 09/24/2000 | Customer Dispute | Settled | $390,000.00 | $0.00 | See FINRA Report |
| Hector Crespo | 3015246 | 6 | 08/16/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian McKevitt | 2446307 | 2 | 07/27/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam Douglas Lorraine | 2424747 | 6 | 06/01/2000 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |