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 | 08/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carlos Capacete | 1429466 | 25 | 08/01/2018 | Customer Dispute | Settled | $3,400,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 07/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 07/12/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 06/20/2018 | Customer Dispute | Settled | $603,041.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 06/19/2018 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Marvin Keith McGraw | 1062664 | 3 | 06/13/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marvin Keith McGraw | 1062664 | 3 | 06/13/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arturo Colon | 2995362 | 32 | 05/04/2018 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 03/09/2018 | Customer Dispute | Settled | $240,613.00 | $0.00 | See FINRA Report |