NASDR lists 8 brokers named Peter Foley. I got the records from the site www.nasdr.com
Two of them are interesting. Their middle names differ, but their CRD numbers are almost the same, 210650 and 210651. I wonder if they are related parties who registered at the same time. Mr. 210651 looks less interesting at first glance, but Mr. 210650 is a humdinger ...
Mr. 210650 no longer is registered, which is interesting. He previously had 18 employers. The most recent was in LaJolla, CA. The list, which I paste below, includes one I recognize: the notorious penny stock broker A. R. Baron. His employment there ended April 1996. Notice what happened the next month, according to reports at www.sec.gov:
"On May 29, 1996, the Commission issued a Temporary Cease-and-Desist Order against Baron to halt fraudulent practices."
Among his other previous employers were "The Foley Group" and "Foley & Raplan."
I haven't received his disciplinary record yet, but here's his employment list. Note the rapid changing of employers, which is typical of penny-stock brokers.
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File for: Data Current as of: 09/24/1999
CRD# 210650
PETER HARGITT FOLEY
PREVIOUS EMPLOYMENT
Employing Firm: RICHMARK CAPITAL CORPORATION
Firm CRD Number: 43162
Office of Employment
Address: LA JOLLA, California
92037
Start Date: 03/01/1999
End Date: 05/25/1999
Positions Held:
Employing Firm: MERIDIAN CAPITAL GROUP, INC.
Firm CRD Number: 36717
Office of Employment
Address: NEWPORT BEACH
92660-1842
Start Date: 09/23/1998
End Date: 02/19/1999
Positions Held:
Employing Firm: L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, INC.
Firm CRD Number: 14152
Office of Employment
Address: IRVINE
92612
Start Date: 06/16/1998
End Date: 08/31/1998
Positions Held:
Employing Firm: WALDRON & CO., INC.
Firm CRD Number: 868
Office of Employment
Address: IRVINE
92612
Start Date: 04/28/1998
End Date: 06/01/1998
Positions Held:
Employing Firm: WALDRON & CO
Firm CRD Number:
Office of Employment
Address: IRVINE
Start Date: 04/01/1998
End Date: 06/01/1998
Positions Held:
Employing Firm: THE FOLEY GROUP
Firm CRD Number:
Office of Employment
Address: LAGUNA HILLS
Start Date: 08/01/1997
End Date: 04/01/1998
Positions Held:
Employing Firm: CRUTTENDEN ROTH INCORPORATED
Firm CRD Number: 15407
Office of Employment
Address: IRVINE, California
92612
Start Date: 05/01/1997
End Date: 08/22/1997
Positions Held:
Employing Firm: GILFORD SECURITIES INCORPORATED
Firm CRD Number: 8076
Office of Employment
Address: NEW YORK, New York
10022
Start Date: 04/16/1996
End Date: 04/30/1997
Positions Held:
Employing Firm: A. R. BARON & CO., INC.
Firm CRD Number: 29285
Office of Employment
Address: NEW YORK
10022
Start Date: 09/26/1995
End Date: 04/01/1996
Positions Held:
Employing Firm: RICKEL & ASSOCIATES, INC.
Firm CRD Number: 7839
Office of Employment
Address: NEW YORK, New York
10022
Start Date: 06/05/1995
End Date: 09/13/1995
Positions Held:
Employing Firm: THE FOLEY GROUP
Firm CRD Number:
Office of Employment
Address: IRVINGTON
Start Date: 04/01/1995
End Date: 06/01/1995
Positions Held:
Employing Firm: HORNBLOWER & WEEKS, INC.
Firm CRD Number: 4683
Office of Employment
Address: NEW YORK
10022
Start Date: 01/15/1995
End Date: 03/16/1995
Positions Held:
Employing Firm: THE FOLEY GROUP
Firm CRD Number:
Office of Employment
Address: IRVINGTON
Start Date: 07/01/1994
End Date: 01/01/1995
Positions Held:
Employing Firm: RAS SECURITIES CORP.
Firm CRD Number: 28212
Office of Employment
Address: NEW YORK
10004-2801
Start Date: 12/03/1993
End Date: 07/29/1994
Positions Held:
Employing Firm: THOMAS JAMES ASSOCIATES, INC.
Firm CRD Number: 15609
Office of Employment
Address: NEW YORK
10038
Start Date: 11/09/1993
End Date: 11/01/1993
Positions Held:
Employing Firm: IICC - TRADECO, INC.
Firm CRD Number: 13205
Office of Employment
Address: NEW YORK
10038
Start Date: 06/01/1992
End Date: 12/15/1993
Positions Held:
Employing Firm: INSTITUTIONAL INVESTORS CONSULT. CO.
Firm CRD Number:
Office of Employment
Address: NY
Start Date: 12/01/1991
End Date: 10/01/1993
Positions Held:
Employing Firm: THE FOLEY GROUP
Firm CRD Number:
Office of Employment
Address: IRVINGTON
Start Date: 12/01/1991
End Date: 06/01/1992
Positions Held:
Employing Firm: EB ADVISORS
Firm CRD Number:
Office of Employment
Address: NY
Start Date: 09/01/1990
End Date: 11/01/1991
Positions Held:
Employing Firm: FOLEY & RAPLAN
Firm CRD Number:
Office of Employment
Address: DENVER
Start Date: 08/01/1990
End Date: 02/01/1991
Positions Held:
Employing Firm: R A F FINANCIAL CORPORATION
Firm CRD Number: 1398
Office of Employment
Address: DENVER
80202
Start Date: 12/26/1989
End Date: 08/03/1990
Positions Held:
Employing Firm: J. T. MORAN & CO., INC.
Firm CRD Number: 15655
Office of Employment
Address: NEW YORK
10004
Start Date: 01/16/1989
End Date: 11/29/1989 |
