BRIAN FRED ZUCKER is currently employed as a Broker and/or Investment Adviser at EIG GLOBAL ENERGY PARTNERS CAPITAL MARKETS, LLC located at 1700 PENNSYLVANIA AVE NW. SUITE 800, WASHINGTON, DC, 20006.
BRIAN FRED ZUCKER has worked at EIG GLOBAL ENERGY PARTNERS CAPITAL MARKETS, LLC since May 22, 2018
BRIAN FRED ZUCKER is also currently employed as a Broker and/or Investment Adviser at SPENCER CLARKE LLC located at 79 MADISON AVE8TH FLOOR, NEW YORK, NY, 10016 since January 01, 1970
BRIAN FRED ZUCKER is also currently employed as a Broker and/or Investment Adviser at EMERGING MANAGER ADVISORS LLC located at 84 MORRIS STREET, JERSEY CITY, NJ, 07302 since January 01, 1970
BRIAN FRED ZUCKER is also currently employed as a Broker and/or Investment Adviser at LARKSPUR CAPITAL CORPORATION located at 708 THIRD AVENUESUITE 1005, NEW YORK, NY, 10017 since January 01, 1970
BRIAN FRED ZUCKER has 2 Disclosure Event(s).
Date: December 03, 2014 Category: Regulatory Initiated By: NEW YORK STATE EDUCATION DEPARTMENT Allegations: RESPONDENT IS CHARGED WITH UNPROFESSIONAL CONDUCT, WITHIN THE PURVIEW AND MEANING OF NEW YORK EDUCATION LAW SECTION 6509(9) IN SPECIFIC VIOLATION OF SECTION 29.10(F)(2) OF THE RULES OF THE BOARD OF REGENTS (8 NYCRR), IN THAT: (A) BY ORDER OF SEC DATED JUNE 14, 2013, RESPONDENT CONSENTED TO THE REVOCATION OF HIS PRIVILEGE TO APPEAR OR PRACTICE BEFORE THE SEC; (B) THE CONDUCT CHARGED IN THE ORDER RESULTING IN THE CONSENT TO SUCH REVOCATION, NAMELY, VIOLATIONS OF THE AUDITOR INDEPENDENCE RULES, (RESPONDENT PERFORMED FINANCIAL AND OPERATIONS PRINCIPAL SERVICES FOR A BROKER-DEALER CLIENT WHILE HIS FIRM WAS SERVING AS THE BROKER-DEALER'S AUDITOR), WOULD, IF COMMITTED IN NEW YORK, CONSTITUTE PROFESSIONAL MISCONDUCT UNDER THE LAWS OF NEW YORK STATE, NAMELY, 8 NYCRR 29.10(A)(5). Resolution: Consent SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: CERTIFIED PUBLIC ACCOUNTANT (CPA) Duration: 3 MONTHS Start Date: 4/1/2015 End Date: 6/29/2015 Broker Comment: Soon after joining an accounting firm the auditors identified deficiencies with an audit client who was a broker dealer. The FINOP for the broker dealer was not available and given my 30 years of experience I was called to assist. Instinctively, I advised to contact the FINRA Core Examiner as well as to give telegraphic notification to the SEC and FINRA. I assisted in responding to FINRA requests for additional information about the firm's net capital situation and helped navigate the firm back into compliance. Subsequently, the SEC notified me that they believed my actions constituted the activity of management which caused the auditors to breach the complicated rules of independence. Not being an auditor I was not previously aware of these technical rules. Rather than engage in a long costly legal fight which would have been a distraction to my partners, I agreed to settle and accept a one year suspension of my ability to appear before the commission as an accountant. I have grown immensely from this experience and have voluntarily taken over 130 hours of continuing education with over 27 hours dedicated solely to the matter of auditor independence. I believe I am a better accountant and FINOP because of it.
Date: June 14, 2013 Category: Regulatory
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