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 |
|---|---|---|---|---|---|---|---|---|
| Nicola Dipaolo | 4307355 | 4 | 02/04/2023 | Financial | Final | $0.00 | $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 |
| Carl Dorsey Cornaglia | 3067666 | 10 | 05/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hung T Sam | 6065447 | 3 | 12/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Theodore Rothermel | 405680 | 6 | 11/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lilian Cristina Perez | 6749353 | 2 | 06/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hung T Sam | 6065447 | 3 | 05/10/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Osborn | 3257186 | 3 | 12/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Gerard Adamo | 1624126 | 5 | 04/24/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |