Malouf / NM Wealth Management LLC / RJFS Branch 4GE / Raymond James Financial Services Inc. / Adviser Compliance Associates LLC / UASNM Inc. / Lamonde / /
Country
United States / /
Currency
USD / /
Event
M&A / Debt Financing / Person Communication and Meetings / Business Partnership / Funding / Legal Issues / /
Facility
Second Judicial District Court / /
IndustryTerm
discretionary advisory services / father-in-law / bank account / personal bookkeeping services / life insurance policy / secondary trader / then son-in-law / /
Organization
Second Judicial District Court / FINRA / SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / Securities and Exchange Commission / Internal Revenue Service / Division of Enforcement / NASD / /
Person
Robert K. Jamieson / Joseph Kopczynski (Kopczynski) / John Schmalzer (Schmalzer) / Kirk Hudson Hudson / Dennis J. Malouf / Steven McGinnis / Burton W. Wiand / Stephen C. McKenna / Paula Calhoun (Calhoun) / Peter B. King / Don Miller (Miller) / Matthew Keller (Keller) / Dugan Bliss / Kirk Hudson (Hudson) / Jerry DeNigris / Dennis J. Malouf Malouf / Kirk Bell / Michael Ciambor (Ciambor) / Dennis J. Malouf (Malouf) / Peter Lehrman / Kirk Bell (Bell) / Joseph Kopczynski Kopczynski / John H. Mulhern / Maurice Lamonde Maurice Lamonde (Lamonde) / Aubrey Kopczynski / /
Position
consultant to Capital Forensics / president / broker / president / and majority owner / accountant / Secretary / Chairman / and Chief Compliance Officer / CEO / principal consultant / investment adviser / representative / advisory representative / dealer / King of Wiand / unregistered broker-dealer / secondary trader / bookkeeper / consultant / chief executive officer / president / chief financial officer and chief investment officer / financial analyst / chairman / registered representative / branch manager forwarded / Assistant Regional Director / branch manager / chairman / board of directors and its CCO / /
ProvinceOrState
Bernalillo County / New Mexico / Florida / New / /
INITIAL DECISION RELEASE NO. 766 ADMINISTRATIVE PROCEEDING FILE NOUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION