COSTA TZOTZIS is currently employed as a Broker and/or Investment Adviser at CAPE SECURITIES INC. located at 42 WEST 38TH STREET, STE 402, NEW YORK, NY, 10018.
COSTA TZOTZIS has worked at CAPE SECURITIES INC. since January 27, 2011
Disclosure History
COSTA TZOTZIS has 4 Disclosure Event(s).
Date: February 01, 2013 Category: Regulatory
Date: January 26, 2011 Category: Employment Separation After Allegations Firm Name: FIRST MIDWEST SECURITIES, INC. Termination Type: Voluntary Resignation Allegations: FIRM FOUND EVIDENCE OF RR'S USE OF DISCRETION IN VIOLATION OF RULE 2510 09/23/2010 AND 11/03/2010. Broker Comment: MY EXERCISE OF TIME AND PRICE DISCRETION WAS UNDERTAKEN CONSISTENT WITH SPECIFIC AUTHORITY PROVIDED TO ME BY THE CLIENT WITH SAME SUBSEQUENTLY CONFIRMED IN WRITING
Date: May 04, 2009 Category: Regulatory
Date: September 09, 2008 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING,FAILED TO RESPOND TO CLIENT, APPROVAL OF MARGIN. Broker Comment: Response by Prestige Financial Center, Inc. indicates firm denied customer complaint.
More Information
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