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 |
|---|---|---|---|---|---|---|---|---|
| Melinda Cherise Meacham | 3228550 | 2 | 05/13/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stuart James Baker | 1080467 | 1 | 03/24/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony James Del Prete | 1638478 | 5 | 03/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony James Del Prete | 1638478 | 5 | 03/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 03/11/2015 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| Dalas Lee Gundersen | 3107187 | 4 | 02/27/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gaines Bailey Smith | 1305480 | 1 | 02/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Dean Austin | 1449142 | 7 | 02/17/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dalas Lee Gundersen | 3107187 | 4 | 12/05/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Isidro Huerta | 838922 | 3 | 12/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |