NASD Registered Person: SHELLY SEAN SINGHAL CRD Number: 2234471
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REPORT SUMMARY
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Employment History
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Employment History: A ten year employment history is viewable through the Public
Disclosure Program. For an individual that is currently
registered with an NASD member firm the ten years precedes
the current date. For an individual that is no longer
registered with an NASD member firm, the ten years precedes
the end date of the last employment with an NASD member firm.
Current Employments: 1
Registrations: 2
Previous Employments: 7
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Disclosure Events: Yes
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Disclosure Event: Information that is required to be reported to the NASD by
brokers via Form U-4 (Uniform Application for Securities
Industry Registration or Transfer) and firms via Form BD
(Uniform Application for Broker-Dealer Registration). Some
disclosure events may have multiple reporting sources. For
example, some information required to be reported by a broker
via Form U-4 may also be reported on the broker's record by a
firm via Form U-5 (Uniform Termination Notice for Securities
Industry Registration) and/or by a regulator via Form U-6
(Uniform Disciplinary Action Reporting Form). If a disclosure
event is reported by multiple sources, all versions of the
reported event will be disclosed on the broker's public
disclosure report. Similarly, some information required to be
reported by a broker-dealer firm via Form BD may also be
reported on the firm's record via Form U-6. If a disclosure
event is reported by multiple sources, all versions of the
reported event will be disclosed on the firm's public
disclosure report.
Criminal Actions: 0
Regulatory Actions: 0
Civil Judicial Actions: 0
Terminations: 0
Customer Complaints: 1
Investigations: 0
Bonds: 0
Bankruptcies: 0
Judgment/Liens: 0
NASD Public Disclosure Program September 24, 2002 Page 2
This information is current as of: 09/24/2002
________________________________________________________________________________
NASD Registered Person: SHELLY SEAN SINGHAL
CRD Number: 2234471
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CURRENT EMPLOYMENT
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This section provides all current employments (investment-related and
non-investment related) as reported on the broker's Form U-4. It displays the
name of the employing firm that employs this broker, the firm's CRD number (if
applicable), the location of the office where the broker is employed, and the
broker's start date.
If the broker is currently employed with an investment adviser, or a firm
registered with any self-regulatory organization other than NASD (e.g., the
NYSE), "Other Business" will display as the Employing Firm. To obtain
additional information about these employing firms, please call the Public
Disclosure Call Center Hotline number, 1-800-289-9999.
A Firm CRD Number will not display for employing firms that are not currently
registered as an NASD registered firm. Information on these employing firms is
not available through the Public Disclosure Call Center Hotline number.
This section also provides the jurisdictions with which the broker is currently
registered or licensed to do business, the category of each registration, and
the date on which the registration approval was granted.
**************** CURRENT EMPLOYMENT (1 of 1) ****************
Employing Firm: FIRST SECURITIES USA, INC.
Firm CRD Number: 39986
Office of Employment address: 2361 CAMPUS DRIVE
SUITE 210
IRVINE, CA 92612
US
Start Date: 08/16/2002 End Date: to present
Registrations:
Jurisdiction/SRO Category Status As Of Date
CA Agent Approved 08/16/2002
NASD General Securities Approved 08/16/2002
Representative
Other Business
NETGATEWAY 754 E. TECHNOLOGIES UT 84097,DIRECTOR ECOMMERCE ENABLING
E-PERCEPTION TECHNOLOGIES 27555 YNEZ ROAD,#203 TEMECULA CA 92591- DIRECTOR,
CRM SOFTWARE CHELL GROUP 14 METEOR DRIVE TORONTO, M9W 184 CANADA-DIRECTOR
APPLICATION SERVICE PROVIDER ENTERTAINMENT BLVD. DIRECTOR DEFUNCT INTERNET
COMPANY CATEGORY 5 TECHNOLOGIES INC, 2755 E. COTTONWOOD PKWY, SUITE 450 SALT
LAKE CITY, UT 84121-DIRECTOR ECOMMERCE ENABLING. BMS CAPITAL- MEMBER
INVESTMENTS-PRIVATE
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PREVIOUS EMPLOYMENT
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This section provides 10 years of an individual's employment history. If the
individual is currently registered with the NASD, employment history will be
displayed for the previous 10 years. If the individual is not currently
registered with the NASD, employment history will be displayed for the 10 years
prior to termination of the registration.
If the broker was previously employed with an investment adviser, or a firm
registered with any self-regulatory organization other than NASD (e.g., the
NYSE), "Other Business" will display as the Employing Firm. To obtain
additional information about these employing firms, please call the Public
Disclosure Call Center Hotline number, 1-800-289-9999.
A Firm CRD Number will not display for employing firms that were not registered
as an NASD registered firm. Information on these employing firms is not
available through the Public Disclosure Call Center Hotline number.
*************** PREVIOUS EMPLOYMENT (1 of 7) ***************
Employing Firm: HAGERTY STEWART
Firm CRD Number:
Office of Employment address: IRVINE, CA
Start Date: 07/2001 End Date: 07/2002
*************** PREVIOUS EMPLOYMENT (2 of 7) ***************
NASD Public Disclosure Program September 24, 2002 Page 3
This information is current as of: 09/24/2002
________________________________________________________________________________
NASD Registered Person: SHELLY SEAN SINGHAL
CRD Number: 2234471
PREVIOUS EMPLOYMENT(cont.)
Employing Firm: SBI E2 CAPITAL
Firm CRD Number:
Office of Employment address: NEWPORT BEACH, CA
Start Date: 06/2001 End Date: 07/2001
*************** PREVIOUS EMPLOYMENT (3 of 7) ***************
Employing Firm: BLUESTONE CAPITAL SECURITIES, INC.
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 01/2001 End Date: 06/2001
*************** PREVIOUS EMPLOYMENT (4 of 7) ***************
Employing Firm: CRUTTENDEN ROTH INCORPORATED
Firm CRD Number:
Office of Employment address: NEWPORT BEACH, CA
Start Date: 07/1995 End Date: 12/2000
*************** PREVIOUS EMPLOYMENT (5 of 7) ***************
Employing Firm: SELF
Firm CRD Number:
Office of Employment address: SANTA MONICA, CA
Start Date: 12/1994 End Date: 07/1995
*************** PREVIOUS EMPLOYMENT (6 of 7) ***************
Employing Firm: THE ARGOSY SECURITIES GROUP, L.P.
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 09/1993 End Date: 12/1994
*************** PREVIOUS EMPLOYMENT (7 of 7) ***************
Employing Firm: DABNEY/RESNICK AND WAGNER, INC.
Firm CRD Number:
Office of Employment address: BEVERLY HILLS, CA
Start Date: 04/1992 End Date: 07/1993
NASD Public Disclosure Program September 24, 2002 Page 4
This information is current as of: 09/24/2002
________________________________________________________________________________
NASD Registered Person: SHELLY SEAN SINGHAL
CRD Number: 2234471
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CUSTOMER COMPLAINTS
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DISCLOSURE INFORMATION
This section contains information regarding customer complaints that were
reported to CRD. These events are disclosable through the Public Disclosure
Program and include consumer-initiated, investment-related arbitration
proceedings or civil suits which contain allegations of sales practice
violations against the broker and are either pending, resulted in an award
against the broker, or were settled for $10,000 or more. Customer complaint
events also include consumer-initiated, investment-related complaints which
contain allegations of sales practice violations against the broker and which
were settled for $10,000 or more, as well as consumer-initiated,
investment-related written complaints filed within the past twenty-four months
which contain either allegations of sales practice violations and damages of
$5,000 or allegations of forgery, theft, or misappropriation of funds or
securities.
Some of the fields in this section of the report may be blank if the information
was not provided to CRD.
The customer complaints listed in this report may include allegations that have
been filed with a firm, an arbitration forum, or a court, but that have not
been verified or proven to be true. Therefore, you should not assume that all
allegations that may be contained in this report are true or will be proven to
be true. The NASD encourages you to discuss any concerns you may have with the
information contained in this report with your firm or broker, who can provide
you with any further information that you may require.
** OCCURRENCE COUNTS ** 1 Record(s)
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** FIELD DEFINITIONS **
* Reporting Source: The form through which details of the customer
complaint was reported to CRD.
* Date Reported: The date the customer complaint was reported to CRD.
* Date Received: Date the complaint was received at the firm or filed
as an arbitration or civil suit.
* Employing Firm: Firm where broker was employed when activity
occurred that led to the complaint.
* Allegations: Allegations made against the broker leading to the
customer complaint.
* Alleged Damages: Alleged dollar amount of compensatory damages sought
by the customer.
* Action Pending?: An indication (i.e., yes or no) as to whether the
complaint is still pending.
* Status: Status of complaint if not pending (e.g., closed,
resulted in no action taken, withdrawn, denied,
settled, resulted in an arbitration or litigation,
etc.).
* Resolution Date: Date associated with the status of the complaint.
Will be blank if complaint is still pending.
* Settlement Amount: The dollar amount the firm and/or individual broker
paid the customer to satisfy the claim.
* Individual ContributionThe dollar amount the indvidual broker contributed
to the settlement amount.
* Arbitration/Reparation The name of the self-regulatory organization/agency
where the claim was filed and the claim 's docket
case number.
* Service Date: The date the firm/individual broker received notice
of the claim or the date Service of Process for the
claim was received.
* Pending?: An indication (i.e., yes or no) as to whether the
claim is still pending.
* Monetary Compensation: The dollar amount the individual broker paid in
accordance with an arbitration/civil litigation
award, settlement, or reparation.
* Disposition: Details of the disposition of the arbitration,
reparation or litigation if status of the
complaint indicates either arbitration, reparation
or litigation.
NASD Public Disclosure Program September 24, 2002 Page 5
This information is current as of: 09/24/2002
________________________________________________________________________________
NASD Registered Person: SHELLY SEAN SINGHAL
CRD Number: 2234471
CUSTOMER COMPLAINTS(cont.)
* Disposition Date: The disposition date of the arbitration, reparation
or litigation.
* Summary: Details related to the circumstances of the
complaint.
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******** CUSTOMER COMPLAINT (1 of 1) ********
Reporting Source: Firm (Form U-5)
Date Reported: 09/13/2001
Date Received: 08/29/2001
Employing Firm: ROTH CAPITAL PARTNERS, LLC
Allegations: CLIENT ALLEGES THAT SHELLY SINGHAL MADE FALSE AND MISLEADING
STATEMENTS IN REGARDS TO THE SOLICITATION OF TWO PRIVATE
PLACEMENTS; ENTERTAINMENT BLVD AND ENUCLEUS.
Alleged Damages: $1,125,000.00
Action Pending?: Yes
Disposition
Details:
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Reporting Source: Broker (Form U-4)
Date Reported: 01/14/2002
Date Received: 08/29/2001
Employing Firm: ROTH CAPITAL PARTNERS, LLC
Allegations: CLIENT ALLEGES THAT SHELLY SINGHAL MADE FALSE AND MISLEADING
STATEMENTS IN REGARDS TO THE SOLICITATION OF TWO PRIVATE
PLACEMENTS, ENTERTAINMENT BLVD AND ENCLEUS
Alleged Damages: $1,125,000.00
Action Pending?: Yes
Disposition
Details:
************ END OF REPORT ************ |
