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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Adam Knutson | 2997006 | 4 | 06/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Alain Alberto Ohayon | 1180975 | 8 | 05/16/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Lee Notrica | 817537 | 10 | 04/11/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley James Crouch | 1259928 | 3 | 04/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edison Kelly | 2877415 | 23 | 03/16/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Brian Lascala | 3070261 | 7 | 03/15/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward Joseph Horvath | 2492170 | 3 | 03/03/2023 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |
| Alain Alberto Ohayon | 1180975 | 8 | 02/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jilena Yuen-Han Mok | 6115674 | 3 | 02/09/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barney Greengrass | 731181 | 5 | 01/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |