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 | 02/24/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Robert Clarke | 1304837 | 10 | 02/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hector Crespo | 3015246 | 6 | 01/28/2022 | Customer Dispute | Settled | $30,846.50 | $0.00 | See FINRA Report |
| Dominick Joseph Diorio | 2447817 | 3 | 01/28/2022 | Customer Dispute | Settled | $30,846.50 | $0.00 | See FINRA Report |
| Joseph Brian Lascala | 3070261 | 7 | 01/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Iannazzo | 2807988 | 3 | 01/22/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Lee Notrica | 817537 | 10 | 01/20/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jerome Anthony Messana | 712315 | 15 | 11/29/2021 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Joseph Michael Giordano | 2278341 | 2 | 11/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roberto Birardi | 4737649 | 2 | 11/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |