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 |
|---|---|---|---|---|---|---|---|---|
| Michael Thomas Edwards | 2780979 | 1 | 12/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lorenzo A Delgado Bustamante | 5086059 | 6 | 12/18/2017 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 12/12/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Ralph Gerard Adamo | 1624126 | 5 | 12/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terry D Scipio | 5667572 | 1 | 12/04/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carlos Capacete | 1429466 | 25 | 11/28/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 11/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony James Del Prete | 1638478 | 5 | 10/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 10/17/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Douglas James Lagerstrom | 2177433 | 2 | 10/07/2017 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |