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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Capacete | 1429466 | 25 | 10/28/2019 | Customer Dispute | Settled | $520,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 10/17/2019 | Customer Dispute | Settled | $1,676,710.00 | $0.00 | See FINRA Report |
| Anthony David Agbay | 2354562 | 10 | 10/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura Renee Shrawder-Miles | 2384721 | 5 | 10/08/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carlos Capacete | 1429466 | 25 | 09/30/2019 | Customer Dispute | Settled | $1,225,570.00 | $0.00 | See FINRA Report |
| Travis Robert Tupper | 5922917 | 1 | 09/30/2019 | Customer Dispute | Settled | $7,500.65 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 09/11/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 09/04/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 08/28/2019 | Customer Dispute | Settled | $1,590,000.00 | $0.00 | See FINRA Report |
| Arturo Colon | 2995362 | 32 | 08/28/2019 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |