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 |
|---|---|---|---|---|---|---|---|---|
| Arturo Colon | 2995362 | 32 | 09/12/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 08/15/2016 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 08/01/2016 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Kelly Stolte Miller | 1336841 | 4 | 07/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 06/16/2016 | Customer Dispute | Closed-No Action | $600,000.00 | $0.00 | See FINRA Report |
| John P Freund | 726884 | 5 | 06/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jose Ivan Acosta Jordan | 1688356 | 10 | 05/23/2016 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Charles Theodore Rothermel | 405680 | 4 | 04/18/2016 | Customer Dispute | Closed-No Action | $5,923.00 | $0.00 | See FINRA Report |
| Jose Ivan Acosta Jordan | 1688356 | 10 | 04/11/2016 | Customer Dispute | Settled | $709,619.00 | $0.00 | See FINRA Report |
| Sandra Benain McKoy | 2954755 | 4 | 04/05/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |