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 | 10/28/2003 | Customer Dispute | Settled | $172,643.00 | $0.00 | See FINRA Report |
| Steven Dean Austin | 1449142 | 7 | 09/30/2003 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |
| Jordan Paul Gates | 1683213 | 1 | 09/26/2003 | Customer Dispute | Settled | $80,200.00 | $0.00 | See FINRA Report |
| Laura Renee Shrawder-Miles | 2384721 | 6 | 08/19/2003 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Kenneth Steven Yermak | 2623048 | 3 | 08/14/2003 | Customer Dispute | Denied | $23,002.20 | $0.00 | See FINRA Report |
| Jeffrey Paul Davis | 2501354 | 12 | 07/14/2003 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Bruce Edmund Winter | 1099535 | 7 | 07/11/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Barbara Jean Ralston | 1087950 | 11 | 06/27/2003 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Laura Renee Shrawder-Miles | 2384721 | 6 | 06/20/2003 | Customer Dispute | Settled | $6,647.77 | $0.00 | See FINRA Report |
| John Albert Nobile | 1722346 | 3 | 06/03/2003 | Customer Dispute | Closed-No Action | $13,910.00 | $0.00 | See FINRA Report |