NASD Registered Person: JOSEPH JOHN GIULIANO
CRD Number: 1411255
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REGULATORY ACTIONS
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DISCLOSURE INFORMATION
This section lists regulatory actions that were reported to the CRD and are
disclosable through the Public Disclosure Program. Disclosable regulatory
actions include formal proceedings initiated by a regulatory authority (i.e., a
state securities agency, the NASD, New York Stock Exchange, foreign regulatory
body, etc.) for a violation of investment-related rules or regulations. In
addition, revocations or suspensions of a broker's authority to act as an
attorney, accountant or federal contractor will appear here.
Some of the fields in this section of the report may be blank if the information
was not provided to CRD.
** OCCURRENCE COUNTS ** 2 Record(s)
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** FIELD DEFINITIONS **
* Reporting Source: The form through which details of the regulatory
action was reported to CRD.
* Date Reported: The date the regulatory action was reported to CRD.
* Initiated By: The name of the securities regulator that initiated
the regulatory action (e.g., regulator, foreign
financial regulatory authority, self-regulatory
organization, federal agency such as SEC, state,
etc.).
* Date Initiated: Date the regulatory action was initiated.
* Docket/Case Number: Docket or case number of the regulatory action.
* Employing Firm: Firm where broker was employed when activity
occurred that led to the regulatory action.
* Allegations: Allegations made against the broker leading to the
regulatory action.
* Current Status: The current status of the regulatory action (i.e.,
pending, on appeal or final).
* Resolution: The resolution of the regulatory action (e.g.,
acceptance, waiver and consent; decision; decision
and order of offer of settlement; order; settled;
etc.).
* Resolution Date: The date the regulatory action was resolved.
* Sanction Details: Additional details regarding any sanctions ordered.
* Summary: A summary of the details related to the regulatory
action.
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******** REGULATORY ACTION (1 of 2) ********
Reporting Source: Regulator (Form U-6)
Date Reported: 05/14/1996
Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Date initiated: 09/25/1995
Docket/
Case Number: C07950074
Employing Firm: GATEWAY FINANCIAL GROUP, INC.
Allegations:
Current Status: Final
Resolution: Decision & Order of Offer of Settlement
Resolution Date: 05/14/1996
Sanctions
Ordered: Monetary/Fine, Censure, Suspension
Monetary Amount: $5,000.00
NASD Public Disclosure Program May 22, 2003 Page 5
This information is current as of: 05/22/2003
________________________________________________________________________________
NASD Registered Person: JOSEPH JOHN GIULIANO
CRD Number: 1411255
REGULATORY ACTIONS(cont.)
Resolution
Details:
Summary: [TOP] COMPLAINT NO. C07950074 FILED 9/25/95 BY DISTRICT NO. 7
AGAINST GATEWAY FINANCIAL GROUP, INC, LISA PAIGE, JOSEPH J.
GIULIANO, AND HOWARD CASS ALLEGING VIOLATIONS OF ARTICLE III,
SECTIONS 1 AND 18 OF THE RULES OF FAIR PRACTICE IN THAT PAIGE
AND CASS, PARTICPATED IN A BEST EFFORTS, PRIVATE PLACEMENT
OFFERING IN WHICH THE OFFERING MEMORANDUM AND SUBSCRIPTION
AGREEMENT CONTAINED MATERIAL OMISSIONS AND/OR WAS MATERIALLY
FALSE AND MISLEADING; PAIGE AND GIULIANO, FAILED TO ESTABLISH
AND PROMPTLY TRANSMIT CUSTOMER SUBSCRIPTION FUNDS TO A BANK
ESCROW ACCOUNT, IN CONTRAVENTION OF RULE 15C2-4 OF THE SEA;
FAILED TO TERMINATE AN OFFERING AND/OR RETURN INVESTOR FUNDS
WHEN IT DID NOT RECEIVE THE REQUIRED $300,000 MINIMUM AMOUNT,
WHEN THE OFFERING PERIOD WAS EXTENDED, AND WHEN SALES OF
HALF-UNITS WERE MADE TO INVESTORS; IN CONTRAVENTION OF RULE
10b-9 OF THE SEA; AND, RESPONDENTS PAGE AND GUILIANO FAILED TO
DISCLOSE THE MEMBER FIRM'S PARTICIPATION IN A STOCK OFFERING
WHEN SPECIFICALLY REQUESTED BY THE NASD STAFF. SUSPENSION
COMMENCES 5/17/96 AND CONCLUDES 5/31/96. ON 5/14/96, THE
DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT
SUBMITTED BY RESPONDENTS MEMBER, PAIGE, GIULIANO AND CASS WAS
ISSUED; RESPONDENT MEMBER IS CENSURED, FINED $10,000, JOINTLY
AND SEVERALLY WITH PAIGE, SUSPENDED FROM PARTICIPATING IN THE
PRIVATE PLACEMENT OF SECURITIES FOR ONE YEAR, AND ORDERED TO
DISGORGE $25,000 IN COMMISSIONS RECEIVED TO INVESTORS;
GIULIANO IS CENSURED, FINED $5,000, SUSPENDED FROM ASSOCIATION
WITH ANY NASD MEMBER AS A GENERAL SECURITIES PRINCIPAL FOR 15
DAYS, SUSPENDED FROM ASSOCIATION WITH ANY NASD MEMBER AS A
FINANCIAL AND OPERATIONS PRINCIPAL FOR 10 DAYS, AND ORDER TO
REQUALIFY AS A GENERAL SECURITIES PRINCIPAL BY TAKING AND
PASSING THE SERIES 24 EXAMINATION BEFORE AGAIN ACTING IN THE
CAPACITY OF A GENERAL SECURITIES PRINCIPAL. ***$5,000.00 FULLY
PAID AS OF 2/3/97, INVOICE #96-07-408***
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Reporting Source: Broker (Form U-4)
Date Reported: 08/16/1999
Initiated By: NASD DISTRICT BUSINESS CONDUCT COMMITTEE #7
Date initiated: 09/25/1995
Docket/
Case Number: C07950074
Employing Firm: THE AGEAN GROUP, INC./GATEWAY FINANCIAL GROUP, INC.
Allegations: FAILURE TO ESTABLISH ESCROW ACCOUNT. FAILURE TO TERMINATE
OFFERING AND/OR RETURN INVESTOR FUNDS. FAILURE TO
DISCLOSE/PROVIDE MISLEADING INFORMATION TO STAFF
Current Status: Final
Resolution: Decision & Order of Offer of Settlement
Resolution Date: 05/14/1996
Sanctions
Ordered: Monetary/Fine, Censure, Suspension
Monetary Amount: $5,000.00
Resolution
Details: APPLICANT WAS FOUND TO HAVE VIOLATED AR. III SEC. I OF THE
RULES OF FAIR PRACTICE. APPLICANT WAS CENSURED AND FINED
$5,000; SUSPENDED FROM THE ASSOCIATION WITH ANY NASD MEMBER AS
A GENERAL SECURITIES PRINCIPAL FOR 15 DAYS., AND AS A FINOP
FOR 10 DAYS; AND ORDERED TO REQUALIFY AS A GENERAL SECURITIES
PRINCIPAL BY TAKING AND PASSING THE SERIES 24 EXAM BEFORE
AGAIN ACTING IN THE CAPACITY OF A GENERAL SECURITIES PRINCIPAL.
Summary: THE APPLICANT DISPUTED THE CHARGES BECAUSE THE FUNDS WERE ALL
MADE PAYABLE TO THE "ISSUER'S BANK FOR THE BENEFIT OF THE
ISSER" AND SENT TO THE ISSER; THE MINIMUM PROCEEDS REQUIREMENT
WAS MET WITHIN THE SELF IMPOSED TIME FRAME OF THE ISSURER;
AND, THERE WAS NO INTENT TO WITHHOLD INFORMATION FROM THE NASD
STAFF. THE APPLICANT BROUGHT THIS MATTER TO THE ATTENTION TO
THE STAFF MEMBER
******** REGULATORY ACTION (2 of 2) ********
Reporting Source: Regulator (Form U-6)
NASD Public Disclosure Program May 22, 2003 Page 6
This information is current as of: 05/22/2003
________________________________________________________________________________
NASD Registered Person: JOSEPH JOHN GIULIANO
CRD Number: 1411255
REGULATORY ACTIONS(cont.)
Date Reported: 07/24/1992
Initiated By: MASSACHUSETTS SECURITIES DIVISION
Date initiated: 07/24/1992
Docket/
Case Number: 89-092
Employing Firm: PROFILE INVESTMENT CORPORATION
Allegations: THE DIVISION FOUND THAT GIULIANO VIOLATED M.G.L. c 110A SECTION
203 BY HIS FAILURE TO NOTIFY THE DIVISION OF A CHANGE IN
MANAGEMENT OR CONTROL OF PROFILE'S BRANCH OFICE IN BROOKLINE,
MASSACHUSETTS, AND THAT GIULIANO VIOLATED M.G.L. c110A SECTION
203 BY HIS FAILURE TO NOTIFY THE DIVISION OF THE TERMI;NATION
OF THE BROOKLINE BRANCH OFFICE.
Current Status: Final
Resolution: Dismissed
Resolution Date: 07/24/1992
Sanctions
Ordered:
Resolution
Details: ON JULY 24, 1992 THE DIVISION ENTERED INTO A CONSENT ORDER WITH
GIULIANO AND THE TEMPORARY CEASE AND DESIST ORDER PRESENTLY ON
RECORD IS VACATED AS TO GIULIANO. THIS PROCEEDING IS DISMISSED
WITH PREJUDICE AS TO GIULIANO AND HE PAID COSTS IN THE AMOUNT
OF $500.00.
Summary: CONSENT ORDER DENTERED JULY 24, 1992 PURSUANT TO WHICH
GIULIANO, WITHOUT ADMITTING OR DENYING THE DIVISION'S
ALLEGATIONS, CONSENTED TO THE DIVISION'S FINDINGS THAT
GIULIANO VIOLATED M.G.L. c110A SECTION 203 BY HIS FAILURE TO
NOTFY THE DIVISION OF A CHANGE IN MANAGEMENT OR CONTROL OF
PROFILE'S BRANCH OFFICE IN BROOKLINE, MASSACHUSETTS, AND THAT
GIULIANO VIOLATED M.G.L. c.110A SECTION 203 BY THE FAILURE TO
NOTIFY THE DIVISION OF THE TERMINATION OF THE BROOKLINE
OFFICE. PURSUANT TO THE CONSENT ORDER, GIULIANO SHALL NOT
APPLY FOR REGISTRATION IN MASSAHUSETTS FOR A PERIOD OF NOT
LESS THAN TWO YEARS FROM THE DATE OF THE ORDER. GIULIANO SHALL
NOT ACT IN A PRINCIPAL OR SUPERVISORY CAPACITY WITH RESPECT TO
AGENTS REGISTERED IN MA OR MA CUSTOMERS UNTIL HE HAS BEEN
CONTINUOUSLY REGISTERED AS AN AGENT IN MA FOR A PERIOD OF NOT
LESS THAN TWO YEARS. THE TEMPORARY CEASE AND DESIST ORDER
PRESENTLY ON RECORD IS VACATED AS TO GIULIANO. THIS PROCEEDING
IS DISMISSED WITH PREJUDICE AS TO GIULIANO. GIULIANO PAID
COSTS IN THE AMOUNT OF $500.00.
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Reporting Source: Broker (Form U-4)
Date Reported: 08/16/1999
Initiated By: THE SECURITIES DIVISION OF MASSACHUSETTS
Date initiated: 05/10/1989
Docket/
Case Number: 89-092
Employing Firm: PROFILE INVESTMENT CORPORATION
Allegations: THE STATE ALLEGED THAT I FAILED TO NOTIFY THEM THAT THE BRANCH
OFFICE WAS CLOSING AND A CHANGE OF CONTROL FOR THE COMPANY HAD
TAKEN PLACE
Current Status: Final
Resolution: Dismissed
Resolution Date: 07/24/1992
Sanctions
Ordered:
Resolution
Details: THE COMPLAINT AGAINST ME WAS DISMISSED AND THE ORDER TO CEASE
AND DESIST WAS VACATED. PURSUANT TO AN ACCEPTED SETTLEMENT
OFFER, A CONSENT ORDER ENTERED FINDING THAT I VIOLATED C110A
SEC. 203(C) BY FAILING TO NOTIFY THE DIVISION "OF A CHANGE IN
MANAGEMENT OR CONTROL OF PROFILE'S BRANCH OFFICE" AND "OF THE
TERMINATION OF THE BROOKLNE BRANCH BY PROFILE". PURSUANT TO
THE CONSENT ORDER I PAID THE COMMONWEALTH OF MASSACHUSETTS
$500 FOR ITS ADMINISTATIVE COSTS, AGREED NOT TO APPLY FOR
NASD Public Disclosure Program May 22, 2003 Page 7
This information is current as of: 05/22/2003
________________________________________________________________________________
NASD Registered Person: JOSEPH JOHN GIULIANO
CRD Number: 1411255
REGULATORY ACTIONS(cont.)
AGENT REGISTRATION FOR TWO YEARS AND AGREED NOT ACT IN A
PRINCIPAL OR SUPERVISORY CAPACITY WITH RESPECT TO AGENTS IN
MASSACHUSETTS UNTIL I HAVE BEEN CONTINUOUSLY REGISTERED AS AN
AGENT IN MASSACHUSETTS FOR TWO YEARS.
Summary: NOT PROVIDED
************ END OF REPORT ************ |
