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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Edmund Winter | 1099535 | 7 | 06/07/2010 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Anthony David Agbay | 2354562 | 10 | 03/26/2010 | Customer Dispute | Settled | $182,000.00 | $0.00 | See FINRA Report |
| Frank Patrick Anderes | 1617984 | 6 | 03/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony James Del Prete | 1638478 | 5 | 03/18/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David L Ballantyne | 2075205 | 3 | 03/05/2010 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| John Michael Mendola | 2891416 | 6 | 01/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rod R Cushing | 2479782 | 2 | 01/08/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Lee Auxter | 2454041 | 2 | 12/30/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Blair Gordon | 2127800 | 13 | 12/14/2009 | Customer Dispute | Settled | $525,000.00 | $0.00 | See FINRA Report |
| John Michael Mendola | 2891416 | 6 | 11/20/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |