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 |
|---|---|---|---|---|---|---|---|---|
| Frank Enrique Lumpuy | 2108307 | 4 | 07/18/2002 | Customer Dispute | Settled | $213,027.00 | $0.00 | See FINRA Report |
| David L Ballantyne | 2075205 | 3 | 07/15/2002 | Customer Dispute | Denied | $68,000.00 | $0.00 | See FINRA Report |
| Garth Anthony Ivey | 2745607 | 1 | 06/23/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Barbara Jean Ralston | 1087950 | 11 | 06/03/2002 | Customer Dispute | Settled | $590,000.00 | $0.00 | See FINRA Report |
| Stephen Lemuel Bargeron | 2573888 | 1 | 04/15/2002 | Customer Dispute | Pending | $122,250.00 | $0.00 | See FINRA Report |
| Stanley Jerome Keyes | 1211573 | 7 | 03/28/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Davis | 2501354 | 12 | 02/21/2002 | Customer Dispute | Denied | $3,013.37 | $0.00 | See FINRA Report |
| Jeffrey Paul Davis | 2501354 | 12 | 02/20/2002 | Customer Dispute | Denied | $10,502.10 | $0.00 | See FINRA Report |
| John Francis Simmons | 2718486 | 2 | 02/18/2002 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| John P Freund | 726884 | 5 | 01/25/2002 | Customer Dispute | Denied | $319,743.00 | $0.00 | See FINRA Report |