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 |
|---|---|---|---|---|---|---|---|---|
| Guy Gregory Clemente | 1222597 | 12 | 05/10/2000 | Customer Dispute | Award / Judgment | $67,733.50 | $96,697.40 | See FINRA Report |
| Michael John Pata | 2699862 | 5 | 04/17/2000 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Barney Greengrass | 731181 | 5 | 03/03/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dhruva I Sethna | 2482381 | 2 | 01/27/2000 | Customer Dispute | Award / Judgment | $172,000.00 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 01/21/2000 | Customer Dispute | Denied | $26,441.50 | $0.00 | See FINRA Report |
| Robert Michael Dougherty | 1009839 | 3 | 12/16/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Gerald Richard Sharpe | 2109210 | 5 | 11/01/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Finnie | 2112495 | 4 | 09/01/1999 | Customer Dispute | Settled | $7,225.45 | $0.00 | See FINRA Report |
| Glenn Douglas Glazer | 2183122 | 3 | 07/09/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel Noah Tenzer | 2270881 | 4 | 04/06/1999 | Customer Dispute | Settled | $284,687.00 | $0.00 | See FINRA Report |