Search for: "TRAUTMAN WASSERMAN "
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16 Dec 2009, 2:48 pm
Trautman, who was co founder, president, and chief executive officer of Trautman Wasserman & Company (TWCO), a registered broker dealer, willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the... [read post]
10 Jul 2007, 9:27 am
The former chief administrative officer of Trautman Wasserman & Co. [read post]
7 May 2018, 11:22 am
., Toluca Pacific Securities Corp, Trautman Wasserman & Company, Kimball & Cross Investment Management Corp, LaSalle Street Securities, Hudson Valley Capital Management in Croton on Hudson, New York from December 2009 until November 2012 and Westor Capital Group. [read post]
13 Aug 2013, 9:00 am
The SEC alleged that Pentagon engaged in late trading through its broker dealer, Trautman Wasserman & Co., from February 2001 through September 2003. [read post]
4 Mar 2019, 2:36 pm
Trautman, Bitcoin, Virtual Currencies, and the Struggle of Law and Regulation to Keep Pace, 102 MARQ. [read post]
26 Sep 2020, 1:59 am
Over his 15 year-long career as a broker, he has been registered with eight different broker dealers: between May 1997 and March 1998, Craig Zabala was registered with Merrill Lynch, Fenner & Smith Incorporated; starting January 2000 until July 2001, Zabala was registered with Trautman Wasserman & Company, a broker dealer expelled by FINRA on June 12, 2007; Zabala was then registered with Allmerica Investment for a short period between October 2001 and March 2002; between… [read post]
26 Sep 2020, 1:59 am
Over his 15 year-long career as a broker, he has been registered with eight different broker dealers: between May 1997 and March 1998, Craig Zabala was registered with Merrill Lynch, Fenner & Smith Incorporated; starting January 2000 until July 2001, Zabala was registered with Trautman Wasserman & Company, a broker dealer expelled by FINRA on June 12, 2007; Zabala was then registered with Allmerica Investment for a short period between October 2001 and March 2002; between… [read post]
21 Jul 2011, 2:00 am
File No. 3-13655, Initial Decision (Sept. 8, 2010). [2] Consulting Services Group, LLC, Advisers Act Release No. 2669 (Oct 4, 2007). [3] Trautman Wasserman & Company, Inc. [read post]
