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 | 03/03/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Laura Renee Shrawder-Miles | 2384721 | 5 | 03/01/2016 | Customer Dispute | Denied | $5,128.35 | $0.00 | See FINRA Report |
| Lorenzo A Delgado Bustamante | 5086059 | 6 | 03/01/2016 | Customer Dispute | Settled | $141,624.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 02/11/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Anthony David Agbay | 2354562 | 10 | 01/11/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicola Dipaolo | 4307355 | 4 | 12/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Enrique Lumpuy | 2108307 | 4 | 06/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Benain McKoy | 2954755 | 4 | 06/09/2015 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Jose Ivan Acosta Jordan | 1688356 | 10 | 06/05/2015 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Dorothy J Gilbert | 4177251 | 1 | 06/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |