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 |
|---|---|---|---|---|---|---|---|---|
| Guy Gregory Clemente | 1222597 | 12 | 10/29/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Rhys Bernthal | 4871243 | 7 | 10/20/2021 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Dieter Howard Huber | 2742065 | 4 | 08/25/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Edison Kelly | 2877415 | 23 | 08/02/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gilbert Anthony Kuta | 1084075 | 16 | 07/27/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Sullivan | 6884201 | 1 | 07/21/2021 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| David Stewart Silberg | 1970484 | 7 | 07/16/2021 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Phillip G Farmer | 2306865 | 6 | 07/06/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jessica Y Jung | 4922155 | 2 | 05/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald Richard Sharpe | 2109210 | 5 | 04/26/2021 | Customer Dispute | Settled | $283,717.00 | $0.00 | See FINRA Report |