Yes, same Trav. Here's the NASD disclosure stuff, first for him, then for Patterson Travis:
File for:
Data Current as of: 12/16/1998
CRD# 448950
DAVID THOMAS TRAVIS
ALL CURRENT EMPLOYMENTS
Employing Firm: PATTERSON TRAVIS, INC.
Firm CRD Number: 16540
Office of Employment
Address: ENGLEWOOD, Colorado 80112
Start Date: 10/12/1990
End Date: to present
Positions Held: President
Other Business
RESIGNED AS DIRECTOR OF RECREATIVE TECHNOLOGY 9/4/91 I AM A DIRECTOR OF RECREATIVE TECHNOLOGY CORP. (RETEC). RETEC'S ADDRESS IS 11437 WEST I-70 FRONTAGE ROAD NORTH, WHEAT RIDGE, CO 80033 RETEC IS A GOLF PRODUCT MARKETING COMPANY DEALING PRIMARILY WITH GOLF NOVELTIES AND ACCESSORIES. I HAVE NO OTHER TITLE OR POSITION WITH THE COMPANY. AS A DIRECTOR I ATTEND MEETINGS AND DISCUSS AND REVIEW HOW THE COMPANY IS DOING AND EVALUATE WHAT THE COMPANY IS PLANNING TO DO FOR THE FUTURE. MEETINGS ARE HELD EVERY COUPLE MONTHS IN THE EVENING AND LAST FOR COUPLE HOURS. THERE IS NO PAY OR REMUNERATION INVOLVED WITH THIS POSITION.ADIRECTOR OF RECREATIVE TECHNOLOGY CORP.
PREVIOUS EMPLOYMENT
Employing Firm: PATTERSON, TRAVIS SECURITIES CORPORATION
Firm CRD Number: 16540
Office of Employment
Address: DENVER, Colorado 80224
Start Date: 03/31/1992
End Date: 08/07/1992
Positions Held: President
Employing Firm: TRAVIS SECURITIES CORPORATION
Firm CRD Number: 16540
Office of Employment
Address: DENVER, Colorado 80224
Start Date: 10/12/1990
End Date: 03/31/1992
Positions Held: President
Employing Firm: SELF EMPLOYED
Firm CRD Number:
Office of Employment
Address: ENGLEWOOD, Colorado
Start Date: 10/01/1986
End Date: 10/01/1990
Positions Held: BUSINESS CONSULTANT
---------------------------------
ASSOCIATED PERSON: TRAVIS, DAVID THOMAS
CRD NUMBER: 448950
Associated Person: TRAVIS, DAVID THOMAS
CRD Number: 448950
12/28/98 SUMMARY INFORMATION
12/28/98: 10/23/95 PENDING NASD COMPLAINT
THE NASD FILED A COMPLAINT AGAINST TRAVIS AND CERTAIN INDIVIDUALS
ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR
PRACTICE. THE NASD ALLEGE THAT A CERTAIN MEMBER FIRM, ACTING THROUGH
TRAVIS, PERMITTED THE FIRM'S INVENTORY LEVEL AND NUMBER OF
REGISTERED REPRESENTATIVES TO EXCEED THE LIMITATIONS IMPOSED BY ITS
RESTRICTION AGREEMENT AND AMENDED RESTRICTION AGREEMENT WITH THE
NASD; CONDUCTED A BEST-EFFORTS INITIAL PUBLIC OFFERING OF SECURITIES
AND FAILED TO COMPLY WITH THE REQUIREMENTS OF THE PENNY STOCK
RULES; FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY
PROCEDURES REASONABLY DESIGNED TO ACHEIVE COMPLIANCE WITH THE
REQUIREMENTS OF THE NASD CONCERNING THE CONDUCT OF BUSINESS BY
PERSONS WHOSE REGISTRATIONS HAVE NOT BEEN APPROVED; AND, FAILED TO
SUPERVISE CERTAIN INDIVIDUALS IN A MANNER REASONABLY DESIGNED TO
ACHIEVE COMPLIANCE WITH THE NASD'S RULES REGARDING THE CONDUCT OF
BUSINESS BY UNREGISTERED PERSONS AND REASONABLY DESIGNED TO
PREVENT THE VIOLATIONS DESCRIBED ABOVE. [NASD COMPLAINT
NO.C3A950062]
-----------------------------
File for:
Data Current as of: 12/16/1998
CRD# 16540
PATTERSON TRAVIS, INC.
Address/General Information
NASD Member Firm: PATTERSON TRAVIS, INC.
CRD Number: 16540
SEC Number: 8-034364
Applicant Name on Form BD: PATTERSON TRAVIS, INC.
Main Office Located in NASD District: DISTRICT 10 - NEW YORK
Main Office Address: 1 BATTERY PARK PLAZA FLOOR 2 NEW YORK, NY 10004
Mailing Address: 1 BATTERY PARK PLAZA FLOOR 2 NEW YORK, NY 10004
Prior Business Names:
BROWN AND ASSOCIATES SECURITIES CORPORATION
COLORADO REAL ESTATE SECURITIES
PATTERSON, TRAVIS SECURITIES CORPORATION
TRAVIS SECURITIES CORPORATION
Types of Business
Broker or dealer making inter-dealer markets in corporate securities over-the-counter
Broker or dealer retailing corporate equity securities over-the-counter
Municipal securities broker
Mutual fund retailer
Trading securities for own account
Underwriter or selling group participant (corporate securities other than mutual funds)
Legal Status
Legal Status INC
State/Country of Formation CO
Date of Formation 05/23/1985
Fiscal Year End DEC
-----------------------
MEMBER FIRM: PATTERSON TRAVIS, INC.
BD NUMBER: 16540
NASD Member Firm: PATTERSON TRAVIS, INC.
BD Number: 16540
12/28/98 SUMMARY INFORMATION
12/28/98: 4/29/98 NASD SUSPENSION
ON 10/23/95, THE NASD FILED A COMPLAINT AGAINST PATTERSON TRAVIS, INC.
AND CERTAIN RESPONDENTS ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1
AND 27 OF THE RULES OF FAIR PRACTICE IN THAT MEMBER FIRM, ACTING
THROUGH A CERTAIN RESPONDENT, PERMITTED THE FIRM'S INVENTORY LEVEL
AND NUMBER OF REGISTERED REPRESENTATIVES TO EXCEED THE LIMITATIONS
IMPOSED BY ITS RESTRICTION AGREEMENT AND AMENDED RESTRICTION
AGREEMENT WITH THE NASD; CONDUCTED A BEST-EFFORTS INITIAL PUBLIC
OFFERING OF SECURITIES AND FAILED TO COMPLY WITH THE REQUIREMENTS OF
THE PENNY STOCK RULES; MEMBER FIRM, ACTING THROUGH A CERTAIN
RESPONDENT, FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN
SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE
COMPLIANCE WITH THE REQUIREMENTS OF THE NASD CONCERNING THE
CONDUCT OF BUSINESS BY PERSONS WHOSE REGISTRATIONS HAVE NOT BEEN
APPROVED; AND, MEMBER FIRM, ACTING THROUGH CERTAIN RESPONDENTS,
FAILED TO SUPERVISE CERTAIN INDIVIDUALS IN A MANNER REASONABLY
DESIGNED TO ACHIEVE COMPLIANCE WITH THE NASD'S RULES REGARDING THE
CONDUCT OF BUSINESS BY UNREGISTERED PERSONS AND REASONABLY
DESIGNED TO PREVENT THE VIOLATIONS DESCRIBED ABOVE. ****
4/29/98 THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT
SUBMITTED BY MEMBER FIRM WHICH IS CENSURED AND FINED $35,000 JOINTLY
AND SEVERALLY, SUSPENDED FROM PARTICIPATION IN ANY INITIAL PUBLIC
OFFERING OF ANY SECURITY MEETING THE DEFINITION OF "PENNY STOCK" FOR
ONE YEAR, AND REQUIRED TO RETAIN, AT OR ABOUT THREE MONTHS PRIOR TO
THE CONCLUSION OF THE SUSPENSION FROM PARTICIPATION IN "PENNY STOCK
UNDERWRITINGS, AN INDEPENDENT CONSULTANT TO REVIEW THE FIRM'S
POLICIES, PRACTICES AND PROCEDURES WITH RESPECT TO THE SALE OF
PENNY STOCKS AND PROVIDE NASD REGULATION, INC. WITH A COPY OF THE
REPORT PREPARED BY SUCH CONSULTANT, TOGETHER WITH DOCUMENTATION
OF THE CHANGES IMPLEMENTED BY THE FIRM AS A RESULT OF THE
CONSULTANT'S REVIEW. THE SUSPENSION WILL COMMENCE WITH THE OPENING
OF BUSINESS ON 6/15/98 AND WILL CONCLUDE AT THE CLOSE OF BUSINESS
6/14/99. **** [NASD COMPLAINT NO. C3A950062] jd /jm
12/28/98: 8/14/97 NASD ARBITRATION
SUBJECT OF AN NASD ARBITRATION. THE ARBITRATION INVOLVED A PUBLIC
CUSTOMER AND WAS FILED BECAUSE OF THE FOLLOWING DISPUTE(S):
MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE. THE
AWARD INCLUDED: ACTUAL/COMPENSATORY DAMAGES, AMOUNT ASKED BY
CUSTOMER-$10,000.00. RELIEF REQUESTS HAVE BEEN DENIED IN FULL. [NASD
ARBITRATION CASE NO. 97-03995]
12/28/98: 1/08/97 NASD ARBITRATION
SUBJECT OF AN NASD ARBITRATION. THE ARBITRATION INVOLVED A PUBLIC
CUSTOMER AND WAS FILED BECAUSE OF THE FOLLOWING DISPUTE(S):
OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE;
EXECUTIONS-FAILURE TO EXECUTE; OMISSION OF FACTS. THE AWARD INCLUDED:
ACTUAL/COMPENSATORY DAMAGES, AMOUNT ASKED BY CUSTOMER-$3,093.75;
ATTORNEY'S FEES, AMOUNT ASKED BY CUSTOMER-$0.00; OTHER COSTS,
AMOUNT ASKED BY CUSTOMER-$0.00; INTEREST, AMOUNT ASKED BY
CUSTOMER-$0.00. RELIEF REQUESTS HAVE BEEN DENIED IN FULL. [NASD
ARBITRATION CASE NO. 96-05259] |
