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 |
|---|---|---|---|---|---|---|---|---|
| Jose Rafael Ortiz | 1991361 | 1 | 05/01/2019 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 04/11/2019 | Customer Dispute | Settled | $146,380.00 | $0.00 | See FINRA Report |
| Daniel Allen Morris | 5532792 | 1 | 03/25/2019 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Kent Edward Amos | 1420455 | 4 | 03/04/2019 | Customer Dispute | Denied | $54,000.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 12/20/2018 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 12/13/2018 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 11/19/2018 | Customer Dispute | Withdrawn | $420,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 11/08/2018 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 11/07/2018 | Customer Dispute | Withdrawn | $290,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 10/22/2018 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |