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 |
|---|---|---|---|---|---|---|---|---|
| Charles Theodore Rothermel | 405680 | 6 | 06/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lee David Simmonds | 1604871 | 4 | 06/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Theodore Rothermel | 405680 | 6 | 03/27/2024 | Judgment / Lien | $0.00 | $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 | |
| Barbara Jean Ralston | 1087950 | 11 | 06/10/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lilian Cristina Perez | 6749353 | 2 | 01/04/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Isidro Huerta | 838922 | 3 | 03/10/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kirk Fitzgerald Stauffer | 2381693 | 12 | 02/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony David Agbay | 2354562 | 10 | 10/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |