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 Ivan Acosta Jordan | 1688356 | 10 | 11/17/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 10/20/2014 | Customer Dispute | Settled | $540,000.00 | $0.00 | See FINRA Report |
| Kelly Stolte Miller | 1336841 | 4 | 09/02/2014 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 08/12/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 07/29/2014 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 05/27/2014 | Customer Dispute | Settled | $295,778.00 | $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 |
| Dalas Lee Gundersen | 3107187 | 4 | 08/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Theodore Rothermel | 405680 | 4 | 03/27/2013 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |