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 |
|---|---|---|---|---|---|---|---|---|
| Barbara Jean Ralston | 1087950 | 11 | 08/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Burke | 5137927 | 2 | 05/26/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher James Obrien | 1995225 | 5 | 05/26/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carl Dorsey Cornaglia | 3067666 | 10 | 05/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leroy Joseph George | 1540486 | 2 | 05/13/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Henry Scheffer | 1660018 | 1 | 03/28/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kirk Fitzgerald Stauffer | 2381693 | 12 | 02/28/2022 | Customer Dispute | Denied | $16,705.00 | $0.00 | See FINRA Report |
| Barbara Jean Ralston | 1087950 | 11 | 01/31/2022 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Sandra Benain McKoy | 2954755 | 4 | 01/11/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Hung T Sam | 6065447 | 3 | 12/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |