DAVID BENJAMIN BARNETT is currently employed as a Broker and/or Investment Adviser at SEA OTTER SECURITIES GROUP LLC located at 22 ELIZABETH STREET, SONO SQUARE, SUITE 1J, NORWALK, CT, 06854.
DAVID BENJAMIN BARNETT has worked at SEA OTTER SECURITIES GROUP LLC since February 09, 2018
Disclosure History
DAVID BENJAMIN BARNETT has 2 Disclosure Event(s).
Date: March 01, 2016 Category: Judgment / Lien Judgment/Lien Amount: $58,000.00 Judgment/Lien Type: Tax Broker Comment: In March 2016 I became aware of a NYS tax judgment in the amount of $58,000. In March 2018 I entered into an installment agreement with NYS under which the outstanding amount will be paid out over a defined period.
Date: November 17, 2003 Category: Regulatory Initiated By: NASD Allegations: NASD RULE 2110 - A MEMBER FIRM, ACTING THROUGH BARNETT, FAILED TO MAINTAIN THE REQUIRED MINIMUM NET CAPITAL WHILE CONDUCTING A SECURITIES BUSINESS. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) Regulator Statement: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, BARNETT CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS FINED $4,000, JOINTLY AND SEVERALLY. FINES PAID 12/15/2003.
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