NASD Registered Person: MICHAEL EMANUEL RECCA
CRD Number: 725452
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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: 43
Previous Employments: 4
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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: 0
Investigations: 0
Bonds: 0
Bankruptcies: 1
Judgment/Liens: 0
NASD Public Disclosure Program June 07, 2003 Page 2
This information is current as of: 06/06/2003
________________________________________________________________________________
NASD Registered Person: MICHAEL EMANUEL RECCA
CRD Number: 725452
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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, 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: SKY CAPITAL LLC
Firm CRD Number: 114657
Office of Employment address: 110 WALL STREET
NEW YORK, NY 10005
Start Date: 08/16/2001 End Date: to present
Registrations:
Jurisdiction/SRO Category Status As Of Date
AK Agent Approved 07/22/2002
AR Agent Approved 07/22/2002
AZ Agent Approved 08/28/2002
CA Agent Approved 07/22/2002
CT Agent Approved 08/21/2002
DC Agent Approved 06/10/2002
DE Agent Approved 07/23/2002
FL Agent Approved 05/20/2002
GA Agent Approved 07/22/2002
HI Agent Approved 08/28/2002
IA Agent Approved 07/22/2002
ID Agent Approved 07/23/2002
IN Agent Approved 08/26/2002
KS Agent Approved 07/22/2002
KY Agent Approved 08/26/2002
LA Agent Approved 06/06/2002
MD Agent Approved 05/17/2002
MN Agent Approved 07/23/2002
MO Agent Approved 07/16/2002
MS Agent Approved 07/25/2002
MT Agent Approved 07/22/2002
NASD General Securities Approved 05/13/2002
Principal
NASD General Securities Approved 05/13/2002
Representative
NC Agent Approved 07/22/2002
ND Agent Approved 07/22/2002
NE Agent Approved 07/23/2002
NJ Agent Approved 05/17/2002
NM Agent Approved 07/24/2002
NV Agent Approved 09/09/2002
NY Agent Approved 08/24/2002
OH Agent Approved 05/17/2002
OK Agent Approved 07/23/2002
OR Agent Approved 07/24/2002
PA Agent Approved 07/22/2002
RI Agent Approved 07/24/2002
SC Agent Approved 07/22/2002
SD Agent Approved 07/23/2002
TX Agent Approved 07/22/2002
VA Agent Approved 07/22/2002
WA Agent Approved 07/22/2002
WI Agent Approved 07/22/2002
WV Agent Approved 07/22/2002
WY Agent Approved 07/29/2002
NASD Public Disclosure Program June 07, 2003 Page 3
This information is current as of: 06/06/2003
________________________________________________________________________________
NASD Registered Person: MICHAEL EMANUEL RECCA
CRD Number: 725452
CURRENT EMPLOYMENT(cont.)
Other Business
(1) INDEPENDENT CONSULTANT; NOT INVESTMENT-RELATED; HOME ADDRESS; FINANCIAL
CONSULTING & TEMPORARY CFO SERVICES TO PRIVATE BUSINESSES ON AS-NEEDED BASIS;
1/99-PRESENT; APPROX 10-15 HRS/MO, GENERALLY OUTSIDE SEC. TRADING HRS.
(2)CHAIRMAN OF THE BOARD, HARVEY ELECTRONICS, INC; NOT INVESTMENT-RELATED; 205
CHUBB AVE, LYNDHURST, NJ; SPECIALTY RETAILER; 1/97-PRESENT; APPROX 25 HRS/MO,
GENERALLY OUTSIDE SEC. TRADING HRS. (3) DIRECTOR, TICKETPLANET.COM INC; NOT
INVESTMENT-RELATED; NO ADDRESS-IN BANKRUPTCY; JUNE/JULY 2001-PRESENT; APPROX
40-50 HRS/MO BUT SHOULD DECLINE SHARPLY IN NEAR FUTURE. (4) DIRECTOR & COO,
SKY CAPITAL HOLDINGS LTD. INVESTMENT-RELATED: ALL DUTIES PRESENTLY RELATE TO
ACTIVITIES OF SOLE SUBSIDIARY, BROKER-DEALER SKY CAPITAL LLC. 1/2002-PRESENT,
APPROX 10 HRS./MONTH DURING SECURITIES TRADING HRS. FOUNDER SKY VENTURE CAPITAL
09/02 TO PRESENT. INVESTMENT RELATED. 1 HOUR PER WEEK NOT DURING TRADING HOURS.
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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 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
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 4) ***************
Employing Firm: NORTHSTAR CAPITAL, LLC
Firm CRD Number:
Office of Employment address: NEW ROCHELLE, NJ
Start Date: 01/2001 End Date: 12/2001
*************** PREVIOUS EMPLOYMENT (2 of 4) ***************
Employing Firm: SELF-EMPLOYED
Firm CRD Number:
Office of Employment address: PELHAM, NY
Start Date: 12/1998 End Date: 01/2001
*************** PREVIOUS EMPLOYMENT (3 of 4) ***************
Employing Firm: TAGLICH BROTHERS, D'AMADEO, WAGNER & CO., INC.
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 05/1997 End Date: 12/1998
*************** PREVIOUS EMPLOYMENT (4 of 4) ***************
Employing Firm: RECCA & CO, INC
Firm CRD Number:
Office of Employment address: NY, NY
Start Date: 04/1992 End Date: 05/1997
NASD Public Disclosure Program June 07, 2003 Page 4
This information is current as of: 06/06/2003
________________________________________________________________________________
NASD Registered Person: MICHAEL EMANUEL RECCA
CRD Number: 725452
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BANKRUPTCY/SIPC/COMPROMISE WITH CREDITORS ACTIONS
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DISCLOSURE INFORMATION
This section contains information regarding certain financial events that were
reported to CRD. These events are disclosable through the Public Disclosure
Program and include bankruptcies, SIPC liquidations and compromises with
creditors filed within the past 10 years.
Some of the fields in this section of the report may be blank if the information
was not provided to CRD.
** OCCURRENCE COUNTS ** 1 Record(s)
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** FIELD DEFINITIONS **
* Reporting Source: The form through which details of the bankruptcy
action was reported to CRD.
* Date Reported: The date the action was reported to CRD.
* Action Type: The type of action (e.g., bankruptcy, compromise,
liquidated, etc.).
* Date Initiated: Date the action was initiated or filed.
* Court details: Details regarding the court the action was brought
in (e.g., name and location of court, docket/case
number, etc.).
* Action Pending?: An indication (i.e., yes or no) as to whether the
action is still pending.
* Disposition: The disposition of the action (e.g., discharged,
direct payment procedure, dismissed, etc.).
* Disposition Date: The disposition date of the action.
* SIPC details: Details regarding proceedings initiated under the
Securities Investor Protection Act (SIPA) (i.e.,
amount paid or agreed to be paid or the name of the
trustee).
* SIPA Date: Date SIPA trustee was appointed or direct payment
procedure was initiated/filed.
* Disposition Details: Details regarding the status and/or disposition of
the action.
* Summary: A summary of the events leading to the action.
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************ BANKRUPTCY (1 of 1) ************
Reporting Source: Broker (Form U-4)
Date Reported: 06/17/2002
Action Type: Bankruptcy
Date Initiated: 10/17/2001
Court Details: U.S. BANKRUPTCY COURT, S.D.N.Y. CASE # 01B-15383(ALG) CHAPTER 7
Action Pending?: Yes
SIPA Date:
Disposition
Details:
Summary: ON BOARD OF DIRECTORS SINCE JUNE OR JULY 2001, INCLUDING AT
TIME OF BANKRUPTCY FILING IN OCTOBER 2001.
************ END OF REPORT ************ |
