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 |
|---|---|---|---|---|---|---|---|---|
| Lee David Simmonds | 1604871 | 4 | 04/17/2009 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Darwin Junior Dees | 4662702 | 3 | 04/15/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Osvaldo Cruz Cintron | 1267949 | 1 | 04/02/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stanley Jerome Keyes | 1211573 | 7 | 03/31/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Lynn Nicholas | 2025056 | 3 | 03/25/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Blair Gordon | 2127800 | 13 | 03/23/2009 | Customer Dispute | Award / Judgment | $496,162.00 | $150,971.00 | See FINRA Report |
| Anthony David Agbay | 2354562 | 10 | 02/10/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Steven Dean Austin | 1449142 | 7 | 01/22/2009 | Customer Dispute | Closed-No Action | $11,473.30 | $0.00 | See FINRA Report |
| Alicia Del Valle Alvarez | 2323568 | 3 | 01/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brenda Kay Rafferty | 2588416 | 2 | 12/29/2008 | Customer Dispute | Settled | $76,000.00 | $0.00 | See FINRA Report |