BARRY DEAN BLAKE is currently employed as a Broker and/or Investment Adviser at GUGGENHEIM SECURITIES, LLC located at 330 MADISON AVENUE, NEW YORK, NY, 10017.
BARRY DEAN BLAKE has worked at GUGGENHEIM SECURITIES, LLC since August 29, 2014
Disclosure History
BARRY DEAN BLAKE has 1 Disclosure Event(s).
Date: July 15, 1999 Category: Employment Separation After Allegations Firm Name: STEPHENS INC. Termination Type: Permitted to Resign Allegations: VIOLATION OF INTERNAL-COMPANY POLICY WITH REGARD TO INVOLVEMENT IN AN OUTSIDE BUSINESS ACTIVITY. Broker Comment: IN JANUARY 1999, I BEGAN TO EVALUATE A POTENTIAL BUSINESS OPPORTUNITY IN DIRECT MARKETING THROUGH THE INTERNET. IN OR ABOUT EARLY FEBRUARY 1999, I SOUGHT AND RECEIVED APPROVAL FROM STEPHENS, INC., MY EMPLOYER, TO MAKE A PASSIVE INVESTMENT IN SUCH BUSINESS. ALTHOUGH I DID NOT CONTEMPLATE BEING INVOLVED IN THE DAY-TO-DAY AFFAIRS OF THE BUSINESS, FROM TIME TO TIME I CONSULTED WITH OTHER PERSONS ACTUALLY INVOLVED IN THE BUSINESS, PROVIDING EXPERTISE IN AREAS RELATING TO THE COMPANY?S ORGANIZATIONAL AND CAPITAL STRUCTURE AND FINANCES. OVER TIME, THE SCOPE OF THIS CONSULTING EXPANDED TO THE POINT WHERE MY SERVICES WERE UTILIZED BY THE COMPANY AND I BEGAN TO NEGOTIATE A COMPENSATION PACKAGE. I DID NOT NOTIFY STEPHENS OF THIS CONSULTING RELATIONSHIP OR OBTAIN THEIR APPROVAL.
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