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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Bradley Mitchell | 4854608 | 2 | 12/08/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hector Crespo | 3015246 | 6 | 11/30/2022 | Customer Dispute | Settled | $1,189,000.00 | $0.00 | See FINRA Report |
| Andrew George Gergatsoulis | 1912483 | 2 | 10/14/2022 | Customer Dispute | Settled | $35,494.30 | $0.00 | See FINRA Report |
| Mark Douglas Panfil | 1875773 | 2 | 10/07/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Elliot Hough Sherer | 2719671 | 6 | 09/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marinos Ballas | 2843677 | 2 | 09/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Henry J Liu | 2428803 | 8 | 09/08/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Arkady Ginsburg | 5256747 | 3 | 06/28/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 06/27/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Bruce Stark | 2912344 | 6 | 06/21/2022 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |