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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Lee Stock | 4821471 | 1 | 09/09/2020 | Customer Dispute | Denied | $24,661.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 04/22/2020 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| John Michael Heroux | 4502714 | 1 | 04/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Hung T Sam | 6065447 | 3 | 04/12/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Landon Kelt | 267357 | 4 | 03/21/2020 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Sandra Benain McKoy | 2954755 | 4 | 01/31/2020 | Customer Dispute | Denied | $20,622.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 12/05/2019 | Customer Dispute | Settled | $224,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 11/15/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 10/28/2019 | Customer Dispute | Settled | $520,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 10/17/2019 | Customer Dispute | Settled | $1,676,710.00 | $0.00 | See FINRA Report |