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 |
|---|---|---|---|---|---|---|---|---|
| Keith Landon Kelt | 267357 | 3 | 03/21/2020 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Isidro Huerta | 838922 | 3 | 03/10/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kirk Fitzgerald Stauffer | 2381693 | 12 | 02/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra Benain McKoy | 2954755 | 4 | 01/31/2020 | Customer Dispute | Denied | $20,622.00 | $0.00 | See FINRA Report |
| Mindy Lea Kirby | 4372660 | 1 | 01/28/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carlos Capacete | 1429466 | 25 | 12/05/2019 | Customer Dispute | Settled | $224,000.00 | $0.00 | See FINRA Report |
| Allan Joseph Haupert | 2932244 | 1 | 11/18/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carlos Capacete | 1429466 | 25 | 11/15/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Nicola Dipaolo | 4307355 | 4 | 11/12/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ralph Gerard Adamo | 1624126 | 5 | 11/12/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |