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 Nunzio Diconza | 1090996 | 2 | 03/29/1999 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Sergio M Rovner | 2884441 | 8 | 02/05/1999 | Customer Dispute | Settled | $158,600.00 | $0.00 | See FINRA Report |
| Thomas Andrew Niemczyk | 2170335 | 6 | 12/15/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phyllis Lyn Quirk | 811259 | 1 | 09/10/1998 | Customer Dispute | Pending | $8,428.25 | $0.00 | See FINRA Report |
| Daniel Dvorznak | 2809819 | 3 | 09/07/1998 | Customer Dispute | Award / Judgment | $0.00 | $20,000.00 | See FINRA Report |
| Joseph Anthony Crispino | 2361097 | 4 | 06/25/1998 | Customer Dispute | Award / Judgment | $472,000.00 | $30,000.00 | See FINRA Report |
| Michael Lapushner | 2192494 | 1 | 06/23/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Dougherty | 1009839 | 3 | 05/01/1998 | Customer Dispute | Denied | $7,979.83 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 03/11/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Stewart Silberg | 1970484 | 7 | 02/27/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |