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 |
|---|---|---|---|---|---|---|---|---|
| Charles Theodore Rothermel | 405680 | 4 | 03/27/2013 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Carl Dorsey Cornaglia | 3067666 | 10 | 03/19/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kaaren Dale Powell | 2805361 | 1 | 01/31/2013 | Customer Dispute | Award / Judgment | $18,084,100.00 | $0.00 | See FINRA Report |
| William Blair Gordon | 2127800 | 13 | 01/16/2013 | Customer Dispute | Settled | $300,964.00 | $0.00 | See FINRA Report |
| Frank Patrick Anderes | 1617984 | 6 | 12/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Andrew Neal | 2807840 | 5 | 10/22/2012 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Susan E Penney | 1238195 | 2 | 10/17/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Steven Yermak | 2623048 | 3 | 10/16/2012 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Daniel T Hackett | 2406280 | 1 | 09/28/2012 | Customer Dispute | Settled | $6,869.00 | $0.00 | See FINRA Report |
| William Blair Gordon | 2127800 | 13 | 08/16/2012 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |