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 |
|---|---|---|---|---|---|---|---|---|
| L. O'Neal Wheatley | 1040693 | 3 | 12/16/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Blair Gordon | 2127800 | 13 | 11/04/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darrin Robert Halsey | 3123125 | 1 | 08/01/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricardo Latta | 1532421 | 4 | 04/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo Latta | 1532421 | 4 | 04/01/1994 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Ricardo Latta | 1532421 | 4 | 04/01/1994 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| L. O'Neal Wheatley | 1040693 | 3 | 10/07/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Edmund Winter | 1099535 | 7 | 10/21/1992 | Customer Dispute | Award / Judgment | $65,000.00 | $32,500.00 | See FINRA Report |
| Michael Andrew Neal | 2807840 | 5 | 09/09/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan S Haenel | 707171 | 3 | 09/11/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |