BOTH Christopher Ferruzza, James Sparacino HAD WORKED FOR HARRISON SECURITIES, Christopher Ferruzza HAD WORKED FOR Global Capital Securities Corporation AND A SLEW OF BOILER ROOMS SUCH AS FIRST UNITED EQUITIES CORPORATION. James Sparacino HAS A MUCH COLORFUL CRD AND HAS WORKED AT PACIFIC CORTEZ SECURITIES INCORPORATED, INVESTORS ASSOCIATES, INC, H.J. MEYERS & CO., INC TO NAME A FEW. Christopher Ferruzza IS CURRENTLY WORKING FOR GUNN ALLEN. BOTH HAVE CLEAN CRD'S. ALTHOUGH BOTH SHOW UP ON THE NEW ZEALAND SECURITIES AND EXCHANGE COMMISION WEB SITE AS BOILER ROOM UNLICENSED BROKERS
NASDAQ CONTINUES TO LOOK THE OTHER WAY
James Sparacino
Employing Firm: GUNNALLEN FINANCIAL, INC
Firm CRD Number: 17609
Office of Employment address: 825 EASTGATE BLVD
GARDEN CITY, NY 11530
USA
Start Date: 12/02/2002 End Date: to present
Global Capital Securities Corporation
538 Broad Hollow Road
Suite 315E
Melville
New York
UNITED STATES OF AMERICA Associated individuals: Christopher Ferruzza, James Sparacino
File for: Data Current as of: 05/09/2003
CRD# 2790298
CHRISTOPHER VINCENT FERRUZZA
PREVIOUS EMPLOYMENT
This section provides 10 years of an individual's employment history. If the individual is currently registered with NASD, employment history will be displayed for the previous 10 years. If the individual is not currently registered with NASD, employment history will be displayed for the 10 years prior to termination of the registration. The firm's CRD number, the office of employment address where the broker was employed, and the dates of employment will be displayed.
To view information on NASD registered firms, you can click on the firm name hyperlink.
If the broker was previously employed with an investment adviser, the investment adviser's name and CRD number will display. However, additional information is not available on investment advisers through the Public Disclosure Program as they are not NASD registered firms.
If the broker was previously employed with a firm registered with any self-regulatory organization other than NASD (e.g., the NYSE), either the firm's name or "Other Business" will display as the Employing Firm. To obtain the firm's name when "Other Business" displays as the Employing Firm, 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 NASD registered firms. Information on these employing firms is not available through the Public Disclosure Program.
Employing Firm: HARRISON SECURITIES, INC.
Firm CRD Number: 14103
Office of Employment
Address: PORT WASHINGTON, NY
Start Date: 04/2001
End Date: 12/2001
Employing Firm: GLOBAL CAPITAL SECURITIES CORPORATION
Firm CRD Number: 16184
Office of Employment
Address: MELVILLE, NY
Start Date: 06/2000
End Date: 04/2001
Employing Firm: TASIN & COMPANY, INC.
Firm CRD Number: 30709
Office of Employment
Address: HAUPPAUGE, NY
Start Date: 01/1999
End Date: 05/2000
Employing Firm: PACIFIC CORTEZ SECURITIES INCORPORATED
Firm CRD Number: 24341
Office of Employment
Address: SMITHTOWN, NY
Start Date: 01/1998
End Date: 12/1998
Employing Firm: ROYAL HUTTON SECURITIES CORP.
Firm CRD Number: 14489
Office of Employment
Address: SYOSSET, NY
Start Date: 06/1997
End Date: 12/1997
Employing Firm: INVESTORS ASSOCIATES, INC.
Firm CRD Number: 958
Office of Employment
Address: SYOSSET, NY
Start Date: 05/1997
End Date: 06/1997
Employing Firm: H.J. MEYERS & CO., INC.
Firm CRD Number: 15609
Office of Employment
Address: MELVILLE, NY
Start Date: 04/1997
End Date: 05/1997
Employing Firm: INVESTORS ASSOCIATES, INC.
Firm CRD Number: 958
Office of Employment
Address: MELVILLE, NY
Start Date: 08/1996
End Date: 04/1997
Employing Firm: UNEMPLOYED
Firm CRD Number:
Office of Employment
Address: COMMACK, NY
Start Date: 08/1995
End Date: 08/1996
Employing Firm: FIRST UNITED
Firm CRD Number:
Office of Employment
Address: GARDEN CITY, NY
Start Date: 06/1995
End Date: 08/1995
Employing Firm: FIRST UNITED EQUITIES
Firm CRD Number:
Office of Employment
Address: GARDEN CITY, NY
Start Date: 06/1995
End Date: 08/1995
Employing Firm: LEW LIEBERBAUM
Firm CRD Number:
Office of Employment
Address: GARDEN CITY, NY
Start Date: 04/1995
End Date: 06/1995
Employing Firm: CATERING TRUCK
Firm CRD Number:
Office of Employment
Address: COMMACK, NY
Start Date: 12/1989
End Date: 04/1995
Global Capital Securities Corporation
538 Broad Hollow Road
Suite 315E
Melville
New York
UNITED STATES OF AMERICA Associated individuals: Christopher Ferruzza, James Sparacino
Overseas Brokers
Since August 2000 the Securities Commission has published on this web site details of overseas brokers who have targeted people in New Zealand who do not hold a New Zealand broker's licence or futures dealer authorisation and, on the information available to the Commission, do not comply with New Zealand law, in particular, the Investment Advisers (Disclosure) Act 1996 or the Securities Markets Act 1988 (formally the Securities Amendment Act 1988), when purporting to act for New Zealand people.
The brokers have not provided evidence to the Commission that they are registered in their home jurisdiction to undertake this type of securities business.
This list is not exhaustive. See also
The brokers who have come to the Commission's notice are:
Argus Capital Investment Corporation
Postbus 59366
1040 KJ Amsterdam
THE NETHERLANDS
Associated individual: Ted Davies
Atlantic Pacific Securities (Australia) Pty Limited
Suite 103
566 St Kilda Road
Melbourne
Victoria 3004
AUSTRALIA Associated individual: Adrian Aston aka Jewkes
Benson Dupont Capital Management Inc
14th Floor, Kamiya-cho Mori Bldg
4-3-20 Toranomon
Minato, Tokio
JAPAN
Benson Dupont
Level 23, CP Tower
313 Silom Road
Bangkok 10500
THAILAND Associated individuals: Steve Wilson and Keith Nochman
Berchmans Lee Company Inc
1410 Herrera Tower
Herrera Street
Salcedo Village
Makati
Manila
PHILIPPINES Associated individual: Chris Carter
Bernstein & Zeiglier
# 10 Anson Road
# 18-18 International Plaza
SINGAPORE 079903 Associated individual: Henry Thornton
Bion, McConnan & Associates LLB
141 757 West Hastings St
Suite 800
Vancouver B.C.
CANADA For further information
Bradford Kempner Investments Limited
Unit 1512, 15th Floor
Q-House Asoke Building
66 Sukhumvit 21 Road
Klongtoey Nua
Wattana
Bangkok 10110
THAILAND
Brooks Pearson Investment Limited
Wisma Danamon Aetna Life
19th Floor, Jalan Jondral Sudirtnan
Kauling 45-46
Jakarta 12930
INDONESIA
Capital Assets Limited
Taipei Metro Building
Suite D, 11/F
No. 207 Tun Hwa South Road, Sec.2,
Taipei
TAIWAN Associated individual: Robert Mason
C & C Global Co., Limited
17th Floor UBC II Building
Soi Sukhumvit 33
Bangkok
THAILAND
Central Capital Inc
387 Ivy Street
San Francisco
California
UNITED STATES New Bright Building
11 Sheung Yuet Road
HONGKONG
Clanvale Securities S.A.
Edificio Torre America
Floor 3 Office 307
Avenida Venezeula
Bello Monte
Caracas
VENEZUELA Edificio Paladium
Oficina 5F
4 Avenida 15-70 Zona 10
Guatemala City
GUATEMALA C.A. 01010
Associated individuals: Lance Ramsey, John Sparks, Charles Blundell
Cohen Nesbit Group Limited
Level 19 Hong Leong Building
16 Raffles Quay
SINGAPORE
Crawford Peale
Unit 1609
16th Floor, Vaint 1 Building
1126/1 New Petchburi Road
Bangkok 10400
THAILAND
Dragon Pacific Company Limited
17th Floor, One Pacific Place
140 Sukhumvit Road
Bangkok
THAILAND Associated individual: Douglas King
Dreyfus Securities Limited
14/F Kamiya-cho Mori Building
4-3-20 Toranomon, Minato-ku
TOKYO 105-0001, JAPAN Amnuaydech Suite 048
22 Central Chidlom Tower
Polenchit Road, Lumpini
Pathumwan, Bangkok 10330
THAILAND
29/F One Canada Square
Canary Wharf, London
UNITED KINGDOM, E14 5DY
Associated individual: Steven Dixon
Dukes and Company Securities Corporation
Unit 1009
PSBank Tower
Senator Gil J
Puyat Avenue
Makati City 1220
PHILIPPINES Constitution Drive
PO Box 332
Belmopan
BELIZE
Associated individuals: Michael Martin, Ben Smit
First Independent Capital Resources, Inc
Shiroyuma JT Movi Building
8-1 Toranoman 4 Chome
Minato-Ku, Tokyo 105
JAPAN
First Independent Resource Management Group Inc
4, V.S. Prospero
Milano
ITALY
First International Equity Inc.
Phone & fax 01 681 888 877 8891
United States of America Associated individual: James C. King
Fisher Sterling International Limited
302 Hung Kei Mansion
5-8 Queen Victoria Street Central
HONG KONG Associated individual: Dave Adams
Foreign Currency International
27 Sukhumvit Soi 20
Bangkok, 10110
THAILAND Associated individual: Stephen Sharpe
Foreign Trade International
12th Floor
253 Sukhumvit Soi
21 Asoke Road
Bangkok 10110
THAILAND Associated individuals: Ian Morris, Christian Webb, Michael Lumby, Alex Pagan, Dennis Askew.
FX Advisors East, LLC
200 Public Square Suite 2955
Cleveland
Ohio
UNITED STATES OF AMERICA
Gaylord & Finch
400 Broadway
Seattle
Washington
UNITED STATES OF AMERICA Associated individual: Peter Williams
Global Asset Advisors S.A.
(purportedly operating from spain) Associated individual: Marc Dannenberg
Global Capital Securities Corporation
538 Broad Hollow Road
Suite 315E
Melville
New York
UNITED STATES OF AMERICA Associated individuals: Christopher Ferruzza, James Sparacino
Global Option Trading Co Limited
14th Floor
253 Sukhumvit Soy 21, Asoke Rd
Bangkok 10110
THAILAND Associated persons: Jamie Nettleship, Callum Hunt
Graves Stanley & Peabody Limited
24 College Lane
P O Box 646
GIBRALTAR Associated individual: Richard Gaston
Gresham Management Inc
207 South 79th Street
Suite 1006
New York
NY 10024
UNITED STATES Associated individuals: Edward Saunders, Martin Nelson, Cynthia Landsburg, Charles Hampton
Hamilton & Associates
Bahnhofstrasse
52 CH8001
Zurich
SWITZERLAND Associated individuals: Alexander Woodbridge, David A Smith, Michael Kennedy
Helvetica Trust & Fiduciary Group
Bahnhofstrasse 71
Surich 8001
SWITZERLAND Associated individual: Gerald Mulrine
Hudson International
Caracasbaaiweg 199
PO Box 6050
Curacao
Netherlands Antilles
WEST INDIES Room 2207
22/F, II Lippo Centre
Central
HONG KONG
Associated individuals: Thomas Jenkins, Steven Billings, Jeffrey Kahn, Frank Edwards, Murray Skolsky.
International Asset Management
CP Tower Level 23
313 Silom Road
Silom 10500
Bangkok
THAILAND Associated individual: Richard Jennings
Jacobs & Kiplinger
Zurich World Trade Centre
Leutschenbachstrasse 95
8050 Zurich
SWITZERLAND
Kearns Investments Inc
Level 9 AIG Building
1-1-3 Marunouchi Chiyoda-Ku
Tokyo 100-0005
JAPAN Level 21 HSBC Tower
101 Yin Cheng East Road
Pudong
Shanghai 200120
CHINA
Level 36
Menara Citibank
165 Jalan Ampang
50450 Kuala Lumpur
MALAYSIA
Associated individuals: Michelle Von Wald, Cyrus Fahad, Tony Sacks and Michael Stuart.
Kensington Group Inc
30th Floor, Shinjuku Park Tower
3-7-1 Nishi-shinjuku
Shinjuku
Tokio
JAPAN
The Kensington Group
23F M Thai Tower
All Seasons Place
87 Wireless Road
Phatumwan
Bangkok
THAILAND 18F, One International Finance Centre
1 Harbour View Street
Central
HONG KONG
KLM Investment Services Limited
25 Dowgate Hill
Cannon Bridge
London
UNITED KINGDOM Associated individuals: Adam Lewis and Timothy Husk
Liberty Capital International Limited
PO Box W829
Corn Alley
St John's
ANTIGUA
Livingston Asset Management
14 Ron
1204 Geneva
SWITZERLAND Associated individuals: Ingo Janneau, Marc Philips, Aron Mozes, Jonathon Livingston, Charles Bond.
The Madison Group
23rd Floor
M.Thai Tower
All Seasons Place
87 Wireless Road
Phatumwan
Bangkok 10330
THAILAND
Associated individuals: Glen Bradshaw, Frank Harris, John Jacobsen
Millenium Financial Group
23rd Floor
Tower 1, The Enterprise Center
6766 Ayala Avenue
Makati City 1200
PHILIPPINES Associated individuals: Richard Arrowsmith, Gary Artzt, G. Edward Buell, Ben Cattaneo, Nica Gelera, Ray Gordon, Jon Jones, Jon Lopresti, Matthew McAllister, George Mitchell, Lenny Mazzola, Joseph Paterno, Shawn Richard, Gregory Rullo, Ken Sheffield, Romson Velez, and Robert Velis.
Morgan International Investment Group Inc
6, Circuit de la Foire Internationale
BP 2507, L-1025 Luxembourg
GRAND-DUCHE DE LUXEMBOURG Associated individuals: Thomas Carpenter, Simon Richardson, Diane Rosenberg
Morgan Pacific
138 Silom Road
Boonmitr Building 10th Floor
Suriyawongse
Bangrak
Bankok 10500
THAILAND Associated individual: Graham Thompson
Morgan Price Limited
Suite 2/83 Walker Street
North Sydney
NSW 2060
AUSTRALIA Level 21, 201 Miller Street
North Sydney
NSW 2060
AUSTRALIA Registered Office
Unit 81
6 Greenknowe Avenue
Elizabeth Bay
NSW 2011
AUSTRALIA
Associated individuals: Robbie Joseph, president, Douglas Pestano, director/secretary, Paul Cottingham Sohn, director.
Morrison Cross Financial Investments Limited
Ave. Manuel Espinosa Batista
International Business Center
Floor 11
PO Box 0833-0118
Panama
REPUBLIC OF PANAMA Associated individuals: Kenneth Elliot, Max Peters
Muller and Sons Securities Management Inc
Unit 114 Prince Plaza 1
106 Legaspi Street
Legaspi Village
Makati City
PHILIPPINES Associated individuals: Ben Smit, Michael Martin, Stephanie Victoire and Maurie Wise
Newport Pacific Securities & Management Inc
Unit 404
Greenbelt Mansion
106 Pera Street
Legaspi Village
Makati
Manila
PHILIPPINES Associated individuals: Jack Miller, Thomas Massino, Johnny Morgan, Peter Lynch and Ron James
Norwich Capital Mutual Funds Limited
Valero Towers, Penthouse D
122 Valero Street
Salcedo Village
Makati City
PHILIPPINES Associated individual: Chris Jones
Norwich International Trading Inc
W910 West Tower
Philippine Stock Exchange Centre
Exchange Road
Oritgas Centre
Pasig City
Metro Manila
PHILIPPINES Associated individuals: Kathleen Edward and Kevin Walker
Parker Jennings
2117 Buffalo Road
Rochester
New York 14624
UNITED STATES
Pembridge Group
Suite 2903
29/F, Tower 1
Admiralty Centre
HONG KONG Associated individual: Justin Wentworth
Pfeiffer Galland
Plaza Mashill Level 21
Jalan Jendral Sudirman Kav 25
Jakarta
INDONESIA
Preferred Performance Group, Company Limited
Richmond Building
75 Sukhumvit Soi 26
Bangkok
THAILAND
Remington Consultancy Limited
1245 Pleasant View Boulevard
Scottsdale Arizona 85261
UNITED STATES
Associated individuals: Richard Remington, George Mason, John Richmonds
Rutherford Acquisitions
7400 Metro Blvd
Minneapolis
Minnesota MN 55439
UNITED STATES
Sherman Brothers
Unit 1911, 19th Floor
One Pacific Place
140 Sukhumvit Road
Klongtoey District
Bangkok 10110
THAILAND
Sigama Capital Management
14th Floor, Kamiya-cho Mori Bldg
4-3-20 Toranomon
Minato, Tokio
JAPAN
Sigama Capital Management
Level 18
One International Finance Centre
1 Harbour View Street
Central
HONG KONG Level 14/1401
One Pacific Place
140 Sukhumvit Road
Bangkok
THAILAND
Associated individuals: David Burgess and Anne Davies
Simmons, Blake & Fritch
27 Floor Jefferson Towers
9823 Hover Street
Maverick Avenue
St Paul, Minnesota
UNITED STATES OF AMERICA Associated individuals: Jennifer Stone, Kate Jones, Timothy Croft
Smith & Henderson Associates Inc
Level 21, HSBC Tower
101 Yin Cheng East Road
Pudong
Shanghai
CHINA Serrano 240 5th Floor
28016 Madrid
SPAIN
South East Asia Trading
12th Floor
253 Soi Sukhumvit
21 Asoke Road
Bangkok 10110
THAILAND Associated individuals: Jamie Nettleship, Andrew Hewit, Michelle Tetreaut.
Stamford - Financial
Level 14, Hibiyo Central Building
1-2-9 Nishi Shimbashi
Minoto-ku
Tokyo
JAPAN
Sterling Capital Corp.
23rd Floor, 6750 Ayala Ave
Makati City, Metro Manila
1226 THE PHILIPPINES Associated individuals: Steven Thompson, John Davis, Michael Cayhill, Jane Alexander
Taylor Atlantic Ltd
Level 4
Tower 2
Petronas Twin Towers
Kuala Lumpur 50088
MALAYSIA Associated individual: John Sinclair
Transglobal Consultants Limited
Pacific Place Two Building Suite 1707
17th Floor, 142 Sukhumvit Road, Klongtoey
Bangkok 10110
THAILAND Associated individuals: Paul Jenson, Josh Kaytor, Daniel Bailey, Robert Ellis and Jeremy Blake.
Trans-National Securities and Trust SA
Birmensdorferstrasse 140,
CH-8003
Zurich
SWITZERLAND Associated individual: John Montana
Trident International
Suite 2207
88 Corporate Centre
141 Valero Street
Salcedo Village
Makati
Manila
PHILIPPINES Associated individual : Richard Bell
United Capital Management Inc
1680 Ramon Magsaysay Centre
Roxas Boulevard
Manila
PHILIPPINES Associated individual : Richard Austin
Vantage International Management Group Inc
Times Square Building
12th Floor, Unit 12-04B
246 Sukhumvit Road
Klongtoey
Bangkok 10110
THAILAND
VIP World Asset Management Co
Shirlaw House
Shirley Street
P O Box SS-19084
Nassau
THE BAHAMAS Associated individual: Joseph Santeramo
Worldwide Investors Management Inc
Suites 303 and 305
Valero Plaza
124 Valero Street
Salcedo Village
Makati
Manila
PHILIPPINES Associated individuals: Chase Trek, Ramiro Yabut, Christian Dupont, Richard Austin, Nathan Logan, Amador Pastrana, Toby Forster and Peter Lawson.
This list is not comprehensive. You should take exceptional care before committing to any transactions with overseas brokers particularly if they are known to you only by telephone conversation.
See also:
Hong Kong Securities Commission
Australian Securities and Investments Commission - Cold Calling
Australian Securities and Investments Commission - Follow Up Scams
Securities and Exchange Commission Thailand - Boiler Room Operations For information on questions to ask before making any investment decision see Test before you invest.
NASD Registered Person: JAMES GERARD SPARACINO
CRD Number: 2702592
********************************************************************************
CURRENT EMPLOYMENT
********************************************************************************
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, the investment
adviser's name and CRD number will display. However, additional information is
not available on investment advisers through the Public Disclosure Program as
they are not NASD registered firms.
If the broker is currently employed with a firm registered with any
self-regulatory organization other than NASD (e.g., the NYSE), either the
firm's name or "Other Business" will display as the Employing Firm. To obtain
the firm's name when "Other Business" displays as the Employing Firm, 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 NASD
registered firms. Information on these employing firms is not available through
the Public Disclosure Program.
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: GUNNALLEN FINANCIAL, INC
Firm CRD Number: 17609
Office of Employment address: 825 EASTGATE BLVD
GARDEN CITY, NY 11530
USA
Start Date: 12/02/2002 End Date: to present
Registrations:
Jurisdiction/SRO Category Status As Of Date
AZ Agent Approved 03/19/2003
CA Agent Approved 12/02/2002
FL Agent Approved 01/03/2003
IA Agent Approved 05/01/2003
IL Agent Approved 01/10/2003
IN Agent Approved 12/10/2002
LA Agent Approved 12/04/2002
MI Agent Approved 12/02/2002
MN Agent Approved 12/02/2002
MO Agent Approved 12/02/2002
NASD General Securities Approved 12/02/2002
Representative
NJ Agent Approved 12/02/2002
NY Agent Approved 12/02/2002
OH Agent Approved 02/04/2003
OR Agent Approved 12/11/2002
PA Agent Approved 12/02/2002
TN Agent Approved 12/12/2002
TX Agent Approved 12/02/2002
UT Agent Approved 01/10/2003
VA Agent Approved 01/14/2003
WA Agent Approved 12/02/2002
********************************************************************************
PREVIOUS EMPLOYMENT
********************************************************************************
This section provides 10 years of an individual's employment history. If the
individual is currently registered with NASD, employment history will be
displayed for the previous 10 years. If the individual is not currently
registered with NASD, employment history will be displayed for the 10 years
prior to termination of the registration. The firm's CRD number, the office of
employment address where the broker was employed, and the dates of employment
will be displayed.
If the broker was previously employed with an investment adviser, the investment
adviser's name and CRD number will display. However, additional information is
not available on investment advisers through the Public Disclosure Program as
they are not NASD registered firms.
If the broker was previously employed with a firm registered with any
self-regulatory organization other than NASD (e.g., the NYSE), either the
firm's name or "Other Business" will display as the Employing Firm. To obtain
the firm's name when "Other Business" displays as the Employing Firm, please
NASD Public Disclosure Program May 10, 2003 Page 3
This information is current as of: 05/09/2003
________________________________________________________________________________
NASD Registered Person: JAMES GERARD SPARACINO
CRD Number: 2702592
PREVIOUS EMPLOYMENT(cont.)
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 NASD
registered firms. Information on these employing firms is not available through
the Public Disclosure Program.
************** PREVIOUS EMPLOYMENT (1 of 14) **************
Employing Firm: HARRISON SECURITIES INC.
Firm CRD Number:
Office of Employment address: PORT WASHINGTON, NY
Start Date: 04/2001 End Date: 11/2002
************** PREVIOUS EMPLOYMENT (2 of 14) **************
Employing Firm: EBI SECURITIES CORPORATION
Firm CRD Number:
Office of Employment address: MELVILLE, NY
Start Date: 05/2000 End Date: 04/2001
************** PREVIOUS EMPLOYMENT (3 of 14) **************
Employing Firm: TASIN & COMPANY, INC.
Firm CRD Number:
Office of Employment address: GARDEN CITY, NY
Start Date: 05/1998 End Date: 05/2000
************** PREVIOUS EMPLOYMENT (4 of 14) **************
Employing Firm: THE J.B. SUTTON GROUP, LLC
Firm CRD Number:
Office of Employment address: GREAT NECK, NY
Start Date: 11/1997 End Date: 05/1998
************** PREVIOUS EMPLOYMENT (5 of 14) **************
Employing Firm: UNEMPLOYED
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 06/1997 End Date: 11/1997
************** PREVIOUS EMPLOYMENT (6 of 14) **************
Employing Firm: H G I
Firm CRD Number:
Office of Employment address: JERICHO, NY
Start Date: 12/1996 End Date: 06/1997
************** PREVIOUS EMPLOYMENT (7 of 14) **************
Employing Firm: FIRST UNITED EQUITIES CORPORATION
Firm CRD Number:
Office of Employment address: GARDEN CITY, NY
Start Date: 12/1995 End Date: 12/1996
************** PREVIOUS EMPLOYMENT (8 of 14) **************
Employing Firm: WORKMANS COMPENSATION
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 07/1995 End Date: 02/1996
************** PREVIOUS EMPLOYMENT (9 of 14) **************
NASD Public Disclosure Program May 10, 2003 Page 4
This information is current as of: 05/09/2003
________________________________________________________________________________
NASD Registered Person: JAMES GERARD SPARACINO
CRD Number: 2702592
PREVIOUS EMPLOYMENT(cont.)
Employing Firm: NYNEX MOBILE COMMUNICATIONS
Firm CRD Number:
Office of Employment address: LONG ISLAND CITY, NY
Start Date: 02/1995 End Date: 11/1995
************** PREVIOUS EMPLOYMENT (10 of 14) **************
Employing Firm: BELL ATLANTIC
Firm CRD Number:
Office of Employment address: LONG ISLAND CITY, NY
Start Date: 01/1995 End Date: 01/1996
************** PREVIOUS EMPLOYMENT (11 of 14) **************
Employing Firm: ULTIMATE IMAGES
Firm CRD Number:
Office of Employment address: HICKSVILLE, NY
Start Date: 06/1994 End Date: 11/1995
************** PREVIOUS EMPLOYMENT (12 of 14) **************
Employing Firm: UNEMPLOYED
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 09/1993 End Date: 02/1995
************** PREVIOUS EMPLOYMENT (13 of 14) **************
Employing Firm: OMI CORP
Firm CRD Number:
Office of Employment address: NYC, NY
Start Date: 07/1992 End Date: 10/1994
************** PREVIOUS EMPLOYMENT (14 of 14) **************
Employing Firm: OMI CORP.
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 07/1992 End Date: 09/1993
NO DISCLOSURE INFORMATION
************ END OF REPORT ************ |
