CYOE FANs I have been thinking about Fantetti again and that is usually dangerous. He may not be a ex-stockbroker at all. Below is the 144 filings and the article about him. He has his accounts at NEUBERGER & BERMAN, LLC and if he still a broker may still work there. I have also noticed many of the people filing 144s also have NEUBERGER & BERMAN, LLC as their brokerage just like Fantetti. Like all good stock brokers there is a good chance you would have your account at the same firm you worked at. You also would get others in on the stock you planned to manipulate. How do we find out if Fantetti is a stock broker and if he works for NEUBERGER & BERMAN, LLC ? He said in one posts in 11/98 that he owned stock in CYOE for 1 1/2 years. Per the date of the article that means he was work as a stock broker when he purchased the stock. Anyone know when he was issued those warrants? Michael Fantetti 358,125 118,125(1) 240,000 1.7%
Detail Record No. 135
Information America Database: STOCK OWNERSHIP
Information Current: through 03-19-1999
Last Updated: 03-22-1999 (Updated on a WEEKLY basis)
Filed: INVESTNET
Issuer's Name: COYOTE NETWORK SYSTEMS INC
Ticker Symbol: CYOE
CUSIP Number: 22406P
Form Description: STK144
Phone Number: (414) 289-9790
Name: STEIN FRED
Name Type: Shareholder
605 3RD AVE
NEW YORK
NY
10158
Intention to Sell: 58,750 Shares
Broker Name: NEUBERGER & BERMAN, LLC
Date Received by SEC: 02-19-1999
Name: FANTETTI MECHAEL P
Name Type: Shareholder
20050 NE HAPPY VALLEY RD
PARADISE VALLEY
AZ
85253
Intention to Sell: 95,025 Shares
Broker Name: PIPER JAFFRAY INC.
Date Received by SEC: 02-11-1999
Name: STEIN FRED & SHARON FOUNDATION
Name Type: Shareholder
Intention to Sell: 20,000 Shares
Broker Name: NEUBERGER & BERMAN, LLC
Date Received by SEC: 02-02-1999
Name: VALOR CAPITAL MGMT LP
Name Type: Shareholder
200 PARK AVE
MANHATTAN
NY
10166
Intention to Sell: 2,500 Shares
Broker Name: ING BARING FURMAN SELZ
Date Received by SEC: 01-13-1999
Name: EUROPA INTERNATIONAL FUND
Name Type: Shareholder
Intention to Sell: 50,000 Shares
Broker Name: ING BARING FURMAN SELZ
Date Received by SEC: 12-11-1998
Name: VALOR CAPITAL MGMT LP
Name Type: Shareholder
200 PARK AVE
MANHATTAN
NY
10166
Intention to Sell: 50,000 Shares
Broker Name: ING BARINGS
Date Received by SEC: 12-11-1998
Name: NASSAU STEVEN
Name Type: Shareholder
30632 LAVUE
LAGUNA BEACH
CA
92677
Intention to Sell: 4,000 Shares
Broker Name: SMITH BARNEY INC.
Date Received by SEC: 11-17-1998
Name: FIFE JOHN M
Name Type: Shareholder
360 EAST RANDOLF
CHICAGO
IL
60601
SUITE #2401
Intention to Sell: 5,000 Shares
Broker Name: GOLDMAN, SACHS & CO.
Date Received by SEC: 11-13-1998
Name: NASSAU STEVEN
Name Type: Shareholder
30632 LAVUE
LAGUNA BEACH
CA
92677
Intention to Sell: 4,000 Shares
Broker Name: SMITH BARNEY INC.
Date Received by SEC: 11-13-1998
Name: PRAXIS II PARTNERS INVESTMENT II
Name Type: Shareholder
605 THIRD AVENUE
MANHATTAN
NY
10158
Intention to Sell: 1,350 Shares
Broker Name: NEUBERGER & BERMAN, LLC
Date Received by SEC: 11-11-1998
Name: PRAXIS II PARTNERS INVESTMENT II
Name Type: Shareholder
605 THIRD AVENUE
MANHATTAN
NY
10158
Intention to Sell: 16,000 Shares
Broker Name: NEUBERGER & BERMAN, LLC
Date Received by SEC: 10-30-1998
Name: SOUTH FERRY # 2 , LP
Name Type: Shareholder
Intention to Sell: 50,000 Shares
Broker Name: NEUBERGER & BERMAN, LLC
Date Received by SEC: 09-09-1998
Name: FIFE JOHN M
Name Type: Shareholder
360 EAST RANDOLF
CHICAGO
IL
60601
SUITE #2401
Intention to Sell: 33,000 Shares
Broker Name: GOLDMAN, SACHS & CO.
Date Received by SEC: 09-03-1998
Name: ISEN FAMILY TRUST
Name Type: Shareholder
9601 WILSHIRE BOULEVARD, # 200
BEVERLY HILLS
CA
90210
Intention to Sell: 100,000 Shares
Broker Name: PRUDENTIAL SECURITIES INCORPORAT
Date Received by SEC: 08-19-1998
Name: FIFE JOHN M
Name Type: Shareholder
360 EAST RANDOLF
CHICAGO
IL
60601
SUITE #2401
Intention to Sell: 20,000 Shares
Broker Name: GOLDMAN, SACHS & CO.
Date Received by SEC: 08-11-1998
Name: FIFE JOHN M
Name Type: Shareholder
360 EAST RANDOLF
CHICAGO
IL
60601
SUITE #2401
Intention to Sell: 50,000 Shares
Broker Name: GOLDMAN, SACHS & CO.
Date Received by SEC: 08-05-1998
Name: PRAXIS II PARTNERS INVESTMENT II
Name Type: Shareholder
605 THIRD AVENUE
MANHATTAN
NY
10158
Intention to Sell: 50,000 Shares
Broker Name: NEUBERGER & BERMAN, LLC
Date Received by SEC: 08-03-1998
Name: STEIN FRED
Name Type: Shareholder
605 3RD AVE
NEW YORK
NY
10158
Intention to Sell: 75,000 Shares
Broker Name: NEUBERGER & BERMAN, LLC
Date Received by SEC: 08-03-1998
Name: WEISER, RONALD N., TRUST DATED 6
Name Type: Shareholder
320 N MAIN STREET, SUITE 200
ANN ARBOR
MI
48104
Intention to Sell: 100,000 Shares
Broker Name: CIBC OPPENHEIMER CORP
Date Received by SEC: 07-27-1998
Name: WEISER RONALD N. TRUST DTD 06/07
Name Type: Shareholder
320 N. MAIN ST
ANN ARBOR
MI
48104
STE 200
Intention to Sell: 100,000 Shares
Broker Name: CIBC OPPENHEIMER CORP
Date Received by SEC: 07-27-1998
VALLEY FIRM ACCUSED IN SECURITIES PROBE
Published on SATURDAY, May 30, 1987
© 1987 The Arizona Republic
Byline: By JOE COLE , The Arizona Republic
Arizona's chief securities-law enforcer Friday accused a prominent Valley company of trading in unregistered securities and of blocking a state investigation.
The Securities Division of the Arizona Corporation Commission seeks to
revoke securities licenses of two firms, formerly known as Century Capital Corp. and First Affiliated Securities, and of eight officers and employees or former employees of the firms.
The complaint, signed late Thursday by the division's chief, Matthew Zale, and made public Friday, gives the securities dealers and salesmen 10 days to request a hearing on the allegations in the 16-page document.
The complaint seeks to revoke:
* The registrations as securities-firm principal and sales representative of James S. Cole, president of Century Capital Corp., a prominent Phoenix investment-banking firm, and registered principal in the Phoenix office of First Affiliated Securities, a stock-brokerage office that was owned by Century Capital.
* The securities licenses of Lee R. Christian, former office manager of the FAS Phoenix office and a former registered principal in the office.
* The securities sales-representative licenses of FAS Phoenix salesmen
Sanford Barry Venitt, John Alexander Schroeder, Stanley James Allen,
Michael Patrick Fantetti, James Roe and Paul John Robinson, all Valley residents.
* The Arizona securities-dealer license of First Affiliated Securities Inc. of San Diego. The firm's Phoenix office was owned and operated by Century Capital.
Tom Canham, an attorney with Streich, Lang, Weeks and Cardon, said
Century Capital, First Affiliated Securities Inc. and Cole would oppose the proposed orders and would request a hearing.
Martin R. Galbut, an attorney representing Venitt, said the allegations involving his client focus on ''very technical'' details of exemption from registration of securities and that ''even the inclusion'' of his client in the complaint is unfair.
None of the individuals named in the complaint returned telephone calls Friday.
The civil complaint also seeks to:
* Impose a penalty of up to $5,000 for each of an unspecified number of alleged violations of state laws prohibiting sales of unregistered securities.
* Recover unspecified profits and commissions from the alleged illegal
transactions, as well as costs for the investigation.
First Affiliated and the officers have ''engaged in a pattern of delaying tactics'' and failed to provide requested and subpoenaed documents and information concerning the transactions, the complaint said.
Century Capital, founded in 1982 by Cole and others, has underwritten the initial public offerings of stock of El Pollo Asado Inc., StatesWest Airlines, America's First Home Stores, Intermark Gaming Inc., Go-Video and Arizona Commerce Bank, among others.
Century Capital and the FAS Phoenix office were acquired early this year by Fitzgerald, DeArman & Roberts, a large securities dealer based in Oklahoma City. They are operated under the Fitzgerald, DeArman name from the former Century Capital offices, 722 E. Osborn. Cole is senior vice president and head of the investment-banking division of Fitzgerald, DeArman.
Officials of Fitzgerald, DeArman in Oklahoma City withheld comment Friday, saying they had not seen the complaint.
Michael Brown, vice president and general counsel of First Affiliated Inc. of San Diego, said that his firm had not seen a copy of the complaint and that he could not comment until he had.
The allegations, said Michael Salcido, chief enforcement attorney in the ACC division, and James R. Cannon, an investigator, center on three stocks traded last year on the Vancouver Stock Exchange.
Century Capital, and in some cases Cole, acquired shares in the companies at 12 to 30 cents a share and sold the stocks at higher prices. Some of the stocks were trading at $4 to $7 a share at the time, the complaint alleges.
The stocks also were offered at low prices to First Affiliated's sales representatives as prizes in sales contests, the complaints said.
The stocks, in Brentwood Resources Ltd., American Biodynamics Inc. and
Canadian Pawnee Oil, were not registered for sale and were not exempt from registration in Arizona during the period alleged in the complaint, from April through October or later, Salcido said.
Salcido said some of the sales representatives have contended that the securities had a ''manual exemption'' from the state requirement for registration for sale in Arizona because they were listed in stock directories published by rating services recognized under division rules and state securities law as over-the-counter stocks registered in other states.
The complaint also alleges that Cole and Christian altered sales tickets to indicate that orders for the three stocks were unsolicited rather than sought by First Affiliated sales representatives and that the two officials admitted they had altered the tickets.
Such unregistered stocks can be sold if clients request them without being solicited, Salcido said.
The complaint says that unspecified FAS Phoenix sales representatives also offered or sold securities in states in which they were not licensed and falsified records to show that the securities had been sold by a representative licensed in that state and that FAS then transferred the sales commission to the unregistered representative.
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