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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Saverio Anthony Fiorello | 1724650 | 1 | 07/04/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| L. O'Neal Wheatley | 1040693 | 3 | 03/19/1990 | Customer Dispute | Settled | $20,200.00 | $0.00 | See FINRA Report |
| Melinda Sue Wolfe | 1627593 | 1 | 06/14/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |