Our Staff has compiled our research into a database of FINRA Broker Disclosures for Kovack Securities Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Richard Eugene Byrd | 1000791 | 4 | 08/28/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Rinaldo Diaz-Flores | 4129676 | 4 | 08/09/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Charles Theodore Rothermel | 405680 | 6 | 06/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lee David Simmonds | 1604871 | 4 | 06/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura Renee Shrawder-Miles | 2384721 | 6 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Curt William Knapp | 1206432 | 1 | 04/18/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Karl Klingmann II | 4268378 | 1 | 04/11/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Theodore Rothermel | 405680 | 6 | 03/27/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mike Antashyan | 7119895 | 2 | 01/25/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Miranda Lounette Ellis | 7049248 | 1 | 10/13/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |