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 |
|---|---|---|---|---|---|---|---|---|
| William Blair Gordon | 2127800 | 13 | 08/16/2012 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Carlos C Garcia | 2635960 | 2 | 07/26/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Samuel D Wright | 4520348 | 2 | 07/24/2012 | Customer Dispute | Denied | $92,600.00 | $0.00 | See FINRA Report |
| Rodrigo Ortiz | 2404460 | 6 | 07/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Blair Gordon | 2127800 | 13 | 07/02/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Frank Patrick Anderes | 1617984 | 6 | 06/15/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robin Sue Davis | 1325295 | 4 | 06/07/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stanley Jerome Keyes | 1211573 | 7 | 05/23/2012 | Customer Dispute | Settled | $243,400.00 | $0.00 | See FINRA Report |
| Humphrey Gervasis Thomas | 4918244 | 1 | 04/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Paul Davis | 2501354 | 12 | 04/11/2012 | Customer Dispute | Closed-No Action | $60,240.00 | $0.00 | See FINRA Report |