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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Capacete | 1429466 | 25 | 05/27/2014 | Customer Dispute | Settled | $295,778.00 | $0.00 | See FINRA Report |
| Michael Shawn Haddigan | 4814523 | 1 | 03/21/2014 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Kirk Fitzgerald Stauffer | 2381693 | 12 | 03/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas James Lagerstrom | 2177433 | 2 | 02/18/2014 | Customer Dispute | Settled | $1,224,960.00 | $0.00 | See FINRA Report |
| Joseph William Gallagher | 2735506 | 1 | 02/12/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kirk Fitzgerald Stauffer | 2381693 | 12 | 02/11/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Patrick Anderes | 1617984 | 6 | 02/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edgar Marvin Hawkins | 2837427 | 1 | 12/27/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Lee Auxter | 2454041 | 2 | 12/16/2013 | Customer Dispute | Denied | $8,800.00 | $0.00 | See FINRA Report |
| David L Ballantyne | 2075205 | 3 | 12/10/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |