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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Edison Kelly | 2877415 | 23 | 01/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Robert Finnie | 2112495 | 4 | 01/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Perres | 4350152 | 3 | 01/23/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Michael Brookman | 3166671 | 4 | 01/12/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Clayton K Shum | 4412927 | 3 | 01/12/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dominick Joseph Diorio | 2447817 | 3 | 12/15/2022 | Customer Dispute | Final | $62,468.00 | $0.00 | See FINRA Report |
| Elliot Hough Sherer | 2719671 | 6 | 12/15/2022 | Customer Dispute | Final | $203,007.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 12/15/2022 | Customer Dispute | Denied | $60,129.00 | $0.00 | See FINRA Report |
| Frank Giacalone | 4314174 | 4 | 12/15/2022 | Customer Dispute | Final | $139,224.00 | $0.00 | See FINRA Report |
| Marinos Ballas | 2843677 | 2 | 12/14/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |