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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Cook Leith Hartman | 1850747 | 4 | 12/21/2022 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Burke | 5137927 | 2 | 12/02/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher James Obrien | 1995225 | 5 | 12/02/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darwin Junior Dees | 4662702 | 4 | 11/01/2022 | Customer Dispute | Pending | $162,000.00 | $0.00 | See FINRA Report |
| Christopher Cook Leith Hartman | 1850747 | 4 | 10/25/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Marvin Keith McGraw | 1062664 | 3 | 10/03/2022 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Maile Sue Foster | 3049192 | 4 | 08/29/2022 | Customer Dispute | Pending | $198,000.00 | $0.00 | See FINRA Report |
| Kirk Fitzgerald Stauffer | 2381693 | 12 | 08/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barbara Jean Ralston | 1087950 | 11 | 08/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Burke | 5137927 | 2 | 05/26/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |