DONOVAN CONRAD GRAY

DONOVAN CONRAD GRAY is currently employed as a Broker and/or Investment Adviser at CASEY SECURITIES, LLC located at 220 MONTGOMERY STREET, SUITE 200, SAN FRANCISCO, CA, 94104.

DONOVAN CONRAD GRAY has worked at CASEY SECURITIES, LLC since May 13, 2005

Disclosure History

DONOVAN CONRAD GRAY has 1 Disclosure Event(s).

Date: August 01, 2004
Category: Regulatory
Initiated By: PACIFIC STOCK EXCHANGE
Allegations: FLOOR BROKER FOR AN OPTIONS TRADING PERMIT FIRM FAILED TO USE DUE DILIGENCE IN EXECUTION OF AN ORDER, FAILED TO IMMEDIATELY AND CONTINUOUSLY REPRESENT AN ORDER, FAILED TO ENTER THE DETAILS OF A TRANSACTION INTO THE ELECTRONIC ORDER CAPTURE SYSTEM BEFORE EXECUTING AND VOCALIZING IT, FAILED TO PRICE REPORT WITHIN 90 SECONDS OF A TRANSACTION, AND ENGAGED IN IMPROPER TRADE-THROUGHS (PCX RULES 6.46(A), 6.67(C), 6.69(A), AND 6.94(A)(1)).
Resolution: Decision & Order of Offer of Settlement SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $2,000.00 Sanction Details: $2,000.00 FINE PAID ON OCTOBER 10, 2005.
Broker Comment: AS DESCRIBED ABOVE IN 12C; FINE WAS PAID ON 10/18/2005 AND PCX BROKER EXAM WAS TAKEN ON 11/07/2005.

More Information

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