RE: UNIFORMS OF AMERICA
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Gateway Financial Group, Inc. (Boca Raton, Florida), Lisa K. Paige (Registered Principal, Boca Raton, Florida), Joseph J. Giuliano (Registered Principal, Hallandale, Florida), and Howard A. Cass (Registered Principal, Boca Raton, Florida) submitted an Offer of Settlement pursuant to which the firm and Paige were fined $10,000, jointly and severally. The firm was suspended from participating in the private placement of securities for one year and ordered to disgorge $25,000 in commissions. Paige was suspended from association with any NASD member as a general securities principal for 30 days and ordered to requalify by exam as a general securities principal. Cass was fined $5,000, suspended from association with any NASD member as a general securities principal for 30 days, suspended from association with any NASD member as a general securities sales representative for 15 days, ordered to requalify by exam as a general securities sales representative, and ordered to disgorge $29,000 in commissions. Giuliano was 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 ordered to requalify by exam as a general securities principal.
Without admitting or denying the allegations, the respondents consented to the described sanctions and to the entry of findings that the firm, acting through Paige and Cass, participated 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. The findings also stated that the firm, acting through Paige and Giuliano, failed to establish and promptly transmit customer subscription funds to a bank escrow account. The NASD found that the firm, acting through Paige and Giuliano, failed to terminate an offering and return investor funds when it did not receive the required minimum amount, when the offering period was extended, and when sales of half-units were made to investors. The NASD also determined that Paige and Giuliano failed to disclose the firm's participation in an offering when asked by the NASD staff.
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Search Results For : Agean Group tenkwizard.com
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Gateway Financial Group, Inc CHANDED THEIR NAME ACCORDING TO THE SEC. STATE OF FLORIDA TO tHE aGEAN gROUP
Florida Profit
THE AGEAN GROUP, INC.
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PRINCIPAL ADDRESS
1 SOUTH OCEAN BLVD.
SUITE 300
BOCA RATON FL 33432-5144
Changed 10/23/1996
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MAILING ADDRESS
1 SOUTH OCEAN BLVD.
SUITE 300
BOCA RATON FL 33432-5144
Changed 10/23/1996
Document Number
P94000092870 FEI Number
650374755 Date Filed
12/22/1994
State
FL Status
ACTIVE Effective Date
NONE
Last Event
NAME CHANGE AMENDMENT Event Date Filed
10/23/1996 Event Effective Date
NONE
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Registered Agent
Name & Address
POLIAK, ALBERT J
ONE SOUTH OCEAN BLVD
SUITE 300
BOCA RATON FL 33432
Name Changed: 07/18/2000
Address Changed: 07/18/2000
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Officer/Director Detail Name & Address Title
DESIDERIO, BARBARA
4772 NW 7TH STREET
DEERFIELD BEACH FL 33442 S
GIULIANO, JOSEPH J
2101 ATLANTIC SHORES BLVD. # 202
HALLANDALE FL 33009 VTSD
PLOIAK, ALBERT
3801 N.E. 27TH TERRACE
LIGHTHOUSE POINT FL 33064 PD
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Annual Reports Report Year Filed Date Intangible Tax
1998 05/05/1998
1999 04/19/1999
2000 07/18/2000
Copyright SAN DIEGO UNION TRIBUNE PUBLISHING COMPANY Apr 15, 1999
In a devastating report, the court-appointed monitor of Pacific Cortez Securities has recommended that the firm be banned from selling securities in California.
That would effectively close the high-pressure peddler of highly speculative stocks, formerly known as La Jolla Capital Financial.
The report by monitor John Cione "confirms what we have said all along -- that there is a culture of non-compliance, top to bottom, at the firm," said Bill McDonald, Los Angeles-based chief of enforcement for the Department of Corporations, which earlier brought fraud charges against the brokerage.
In response to those charges, Superior Court Judge William C. Pate named Cione as compliance monitor early this year.
In only a month on the job, Cione learned that customers had been unable to sell their stocks, brokers were making outrageous sums on trades, and the books are deceptive and "a separate nightmare," he reported to the court. In his first days on the job, he reviewed complaints against the firm -- an astounding 152 from January 1998 to February of this year.
"I saw a pattern of misrepresentation, unauthorized transactions and failure to sell securities when requested by clients," Cione said.
Soon, he figured out one of the games. First, brokers are making 20 to 40 percent of a trade. These huge percentages are called "concessions," not "commissions."
Then comes the hook. It is called a "muted no net sale policy." The broker who has received the 20 to 40 percent "concession" has to give it back if the client sells the shares.
"This is a system employed to manipulate the price of stocks in which Pacific Cortez is a market maker," Cione said.
There are other gimmicks. Cione told of a woman who had bought shares of Uniforms for America from Pacific Cortez. When she went to sell the shares at another brokerage, she was told they were restricted shares. Yet they had been bought in the open market.
Pacific Cortez employees stonewalled Cione on the matter. He was told that it was a "consulting agreement" deal, or a "contractual hold." Obviously, it will be investigated.
The majority owner of the firm is Harold B. (B.J.) Gallison, who has been fined and disciplined by numerous regulatory bodies. The National Association of Securities Dealers has permanently banned him from supervisory roles in the industry.
But he is still running Pacific Cortez, Cione concluded.
"He ended up giving directions," confirmed Christos Kiziroglou, the firm's former chief executive, in a separate interview. Kiziroglou resigned last month.
"Mr. Gallison would usurp the authority of the president, Mr. Kiziroglou," said Leslie Valdez, who did administrative work at the firm. After the state of Texas closed down Pacific Cortez's Dallas office last year, the firm's manager and brokers formed a new company, RRK Securities. Gallison paid Valdez to do the registration work for RRK, said Cione. B.J. Gallison is a consultant to the operation, said Valdez. She does not know if he is an indirect owner, or has sent his own money to the firm, but, "Mr. Cione looked at records of Pacific Cortez and had made a note that Mr. Gallison had been sending rather large sums to Kyle Rowe (RRK president, former Dallas manager of Pacific Cortez) after his termination from the firm," she said.
Irving Einhorn, attorney for Pacific, denied that the firm kept customers from selling their stock, and said that the NASD and SEC know about the 20 to 40 percent "concessions," which, he said, are a form of profit-sharing. However, he is not sure that the NASD and SEC know that the concessions are yanked when a customer sells.
Einhorn denied that Gallison has transferred money to the Dallas firm, and said that the problem with Uniforms for America stock may have been made by the transfer agent.
Cione has overreacted, and Pacific has a viable plan to scale itself back to a wholesale operation, claimed Einhorn.
"Cione's report shows potential abuses and violations -- market manipulation, abusive sales practices, excessive markups, disclosure violations, fraud," said McDonald. "We will use Cione's report as a road map. It will have to be converted into evidentiary format."
And soon. "The violations are ongoing," said McDonald, even with Cione on the premises as a monitor. He thinks Judge Pate will want a DOC report within a couple of weeks.
Don Bauder's e-mail address is don.bauder@uniontrib.com
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Uniform For America (UNIF) Message List Raging Portfolios - Track your stocks here
By: scottlhp $$
Reply To: 6 by RWM66 $$ Friday, 9 Apr 1999 at 9:23 AM EDT
Post # of 32
A lot of UNIF is probably owned overseas, mostly in Asia. The main market-maker is Pacific Continental Securities. The Agean Group also trades a big chunk of UNIF stock.
I tried to learn something about both companies but they are obscure firms. While Pacific Continental markets many otcbb issues, a huge part of their business is done lately with UNIF.
They say they are in Beverly Hills and seem to cater to Asian customers. I saw several mentions Pacific Continental web sites. But the sites don't work. It appears they did work at one time but may have shut down. Hard to tell.
I learned almost nothing about The Agean Group. It must be new and small. La Jolla, which used to make a market in the stock, is no where to be found among those handling this stock lately.
Whoever was pushing the stock does seem to be losing interest. Volume is dropping along with the price.
Raging Bull Advertisements $7 Trades, 125 offices. IRAs: no annual fees!
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Tomorrow, the market closed at:
ragingbull.lycos.com
Uniform For America (UNIF) Message List Raging Portfolios - Track your stocks By: RWM66 $$
Reply To: 3 by scottlhp $$ Sunday, 4 Apr 1999 at 11:28 PM EDT
Post # of 32
I GOT HOOKED UP WITH SOME LAJOLLA CAPITAL GUY LAST YEAR. HE REALLY PUSHED THIS STOCK HARD.I LOST 9K. UNIF HAS REALLY CHANGED HORSES IN MID STREAM. I LIKE THE WEB IDEA BETTER THAN FRANCHISING TO SOME UNKNOWN QUANTITY.HOW DID YOU FIND THIS STOCK ? THIS IS A .50 STOCK WHICH MAY RUN UP TO A DOLLAR BUT I DONT SEE MUCH MORE. LAJOLLA HAD DRIVEN THE PRICE UP BUT THEY ARE PUMPING OTHER THINGS NOW. IMO
(Voluntary Disclosure: Position- long; ST Rating- hold; LT Rating- hold)
ragingbull.lycos.com
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By: scottlhp $$
Reply To: None Saturday, 3 Apr 1999 at 1:02 PM EST
Post # of 126605
<V>There is now a Uniforms For America (UNIF) board on RB. Dr Phan was listed as a director of that company.
ragingbull.lycos.com
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Officer/RA Name Entity Name Document Number
DESIDERIO, BARBARA DESIDERIO ITALIAN BAKERY, INC. 517820
DESIDERIO, BARBARA GOLD COAST CAPITAL PARTNERS, INC. F00000005082
DESIDERIO, BARBARA THE AGEAN GROUP, INC. P94000092870
sunbiz.org
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HARTCOURT COMPANIES INC filed this 10KSB on 04/13/1998.
On 28 July 1997, Capital Commerce, Ltd. (an Isle of Man Corporation),
does hereby enter into this agreement with The Harcourt Companies, Inc. (a Utah
Corporation), to provide free trading securities for the purchase of Pego
Industries and the creation of ECS (a Nevada Corporation. to be a wholly owned
subsidiary of Hartcourt). The free trading securities to be provided by Capital
Commerce shall be from its trading portfolio, in the amount of no less than US
$6.000,000.00 as follows:
Capital Commerce Ltd. does hereby agree to provide the following, free trading
securities from its portfolio, to beused by HRCT as equity capital:
1. Uniforms for America (NASDAQ BB: UNTIF) at the current price of
US$ 6.00 per share 500,000 shares US $3,000,000
2. The Beverage Store (NASDAQ BB: BEVG) at the current price of
US$ 5.75 per share 260,869 shares US $1,500,000
3. Phone Time Resources, Inc. (NASDAQ BB: PHTM) at the current price of
US$ 1.10 per share 1,363,636 shares
tenkwizard.com
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CYGNI INVESTMENTS INC filed this 10SB12G on 07/26/2000.
ITEM 4. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL
OWNERS AND MANAGEMENT
The following table sets forth certain information furnished by current
management concerning the ownership of common stock of the Company as of June
30, 2000, of (i) each person who is known to the Company to be the beneficial
owner of more than 5 percent of the Common Stock; (ii) all directors and
executive officers; and (iii) directors and executive officers of the Company
as a group:
Amount and Nature
Name and Address of Beneficial
of Beneficial Owner Ownership (1) Percent of Class
Carl T. Suter 79,500 7.95%
3857 Birch St., #606
Newport Beach, CA 92660
Lynn Carlson 0 0%
1516 Brookhollow Drive, Suite #D
Santa Ana, CA 92705
Executive Officers and 79,500 7.95%
Directors as a Group
(2 Person)
Baldwin Investments Ltd. 99,500 9.95%
99-101 Regent St.
First Floor
London W1R 7HB UK
Eric Bronk 169,500(2) 16.90%
3857 Birch St., #606
Newport Beach, CA 92660
Fleming Securities 99,500 9.95%
Suites 1601-1603
Hollywood Rd.
Hong Kong
Starling Securities Ltd. 99,500 9.95%
Suite 2 B
Suite 2 B
Mansion House
143 Main St.
Gibraltar
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. )*
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Mezzanine Investment Corporation
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
593175 10 2
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(CUSIP Number)
Matthew S. Kerper 714-430-9209 ext. 208
1516-D Brookhollow Dr. Santa Ana, CA 92705
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
12-25-99
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(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition which is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(b)(3) or (4), check the following
box / /.
NOTE: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) for other parties to whom copies are to
be sent.
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes). (Continued on following page(s))
Page 1 of 3 Pages
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CUSIP No. 593175 10 2 13D Page 2 of 3 Pages
--------- --- ---
Starling Securites, LTD.
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(1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above
Persons
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
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(3) SEC Use Only
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(4) Source of Funds* WC
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e)
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(6) Citizenship or Place of Organization
Gibraltar
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Number of Shares (7) Sole Voting
Beneficially Owned Power 3,000
by Each Reporting --------------------------------------------------
Person With (8) Shared Voting
Power
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(9) Sole Dispositive
Power
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(10) Shared Dispositive
Power
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(11) Aggregate Amount Beneficially Owned by Each Reporting Person
3,000
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(12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares*
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(13) Percent of Class Represented by Amount in Row (11)
9.0909%
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(14) Type of Reporting Person*
CO
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 3 of 3 Pages
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ITEM 1. SECURITY AND ISSUER Common Stock
Mezzanine Investment Corporation
1516-D Brookhollow Drive Santa Ana, CA 92705
ITEM 2. IDENTITY AND BACKGROUND
Starling Securities Ltd. Investment Banking
Suite 2B Mansion Hse, 143 Main St. D) NO
Gibraltar E) N
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,HARTCOURT COMPANIES INC filed this 10KSB on 04/13/1998
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CAPITAL COMMERCE AGREEMENT CAPITAL COMMERCE LTD . 2B Mansion House, 143 Main Street, Gibraltar |
