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 | 10/17/2018 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Barbara Jean Ralston | 1087950 | 11 | 10/17/2018 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 10/08/2018 | Customer Dispute | Withdrawn | $275,000.00 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 10/08/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lorenzo A Delgado Bustamante | 5086059 | 6 | 10/02/2018 | Customer Dispute | Settled | $89,151.00 | $0.00 | See FINRA Report |
| Jose Ivan Acosta Jordan | 1688356 | 10 | 08/30/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Keith Vereen | 4167706 | 3 | 08/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Theodore Rothermel | 405680 | 4 | 08/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Edward Locascio | 1025728 | 3 | 08/14/2018 | Customer Dispute | Settled | $14,273.20 | $0.00 | See FINRA Report |
| Carlos Capacete | 1429466 | 25 | 08/01/2018 | Customer Dispute | Settled | $3,400,000.00 | $0.00 | See FINRA Report |