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 |
|---|---|---|---|---|---|---|---|---|
| Michael Shawn Haddigan | 4814523 | 2 | 03/21/2014 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Douglas James Lagerstrom | 2177433 | 2 | 02/18/2014 | Customer Dispute | Settled | $1,224,960.00 | $0.00 | See FINRA Report |
| David L Ballantyne | 2075205 | 3 | 12/10/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Kelly Stolte Miller | 1336841 | 4 | 09/03/2013 | Customer Dispute | Award / Judgment | $2,900,000.00 | $5,750,770.00 | See FINRA Report |
| Charles Theodore Rothermel | 405680 | 6 | 03/27/2013 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Carl Dorsey Cornaglia | 3067666 | 10 | 03/19/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kaaren Dale Powell | 2805361 | 1 | 01/31/2013 | Customer Dispute | Award / Judgment | $18,084,100.00 | $0.00 | See FINRA Report |
| William Blair Gordon | 2127800 | 13 | 01/16/2013 | Customer Dispute | Settled | $300,964.00 | $0.00 | See FINRA Report |
| Michael Andrew Neal | 2807840 | 5 | 10/22/2012 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Kenneth Steven Yermak | 2623048 | 3 | 10/16/2012 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |