GARRETT JAMES NAGLE

GARRETT JAMES NAGLE is currently employed as a Broker and/or Investment Adviser at GARRETT NAGLE & CO., INC. located at 300 UNICORN PARK DRIVE, WOBURN, MA, 01801.

GARRETT JAMES NAGLE has worked at GARRETT NAGLE & CO., INC. since March 09, 1976

Disclosure History

GARRETT JAMES NAGLE has 3 Disclosure Event(s).

Date: March 15, 1997
Category: Regulatory

Date: January 19, 1994
Category: Regulatory
Initiated By: STATE OF VERMONT, DEPARTMENT OF BANKING, INSURANCE & SECURITIES
Allegations: ON 06/25/1992, GARRETT NAGLE & CO., INC. OPENED AN ACCOUNT FOR A VERMONT RESIDENT WHO CAME TO OUR BOSTON OFFICE. WE NEITHER SOLICITED THE ACCOUNT NOR ENTERED THE STATE. REGISTRATION PROCESS IN VERMONT WAS INITIATED IMMEDIATELY BUT NOT COMPLETED UNTIL 11/1992 - REGISTRATION WAS GRANTED ON 12/07/1992. VERMONT CONTENDS WE CONDUCTED BUSINESS BEFORE REGISTRATION WAS COMPLETE. THERE WERE NO ALLEGED OR ACTUAL DAMAGES.
Resolution: Consent SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $1,300.00 Sanction Details: THE FIRM PAID A FINE OF $1,300.00 ON 05/13/1994.
Broker Comment: GARRETT J. NAGLE WAS GRANTED REGISTRATION.

Date: April 01, 1993
Category: Regulatory
Initiated By: RHODE ISLAND SECURITIES DIVISION
Allegations: DURING THE PERIOD FROM AT LEAST JULY 12, 1990TO THE PRESENT, GARRETT J. NAGLE, JR. TRANSACTED BUSINESS AS ASALES REPRESENTATIVE AND AN INVESTMENT ADVISER REPRESENTATIVEOF GARRETT NAGLE & CO., INC. IN THIS STATE WITHOUT EFFECTIVELICENSING OR ENTITLEMENT TO AN EXEMPTION FROM THE LICENSINGREQUIREMENTS, IN VIOLATION OF SECTIONS 201 AND 203 OF THE RHODEISLAND UNIFORM SECURITIES ACT ("RIUSA").
Resolution: Consent SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $10,000.00 Sanction Details: CONSENT ORDER ENTERED 11/24/93, ORDERINGRESPONDENT TO IMMEDIATELY CEASE AND DESIST FROM ANY FURTHERVIOLATIONS OF SECTIONS 201 AND 203 OF RIUSA, TO PAY ANADMINISTRATIVE PENALTY OF $10,000 AND $2,000 IN BACK FEES, ANDTO MAKE A WRITTEN OFFER OF RESCISSION TO ALL RHODE ISLANDCUSTOMERS.
Broker Comment: GARRETT NAGLE & CO., INC. AND GARRETT J. NAGLE HAD CONDUCTED BUSINESS WITH THREE (3) INDIVIDUALS IN THE STATE OF RHODE ISLAND. OUR FIRM NEVER HAD AN OFFICE OR SOLICITATION PROGRAM IN THE STATE. AN OFFER OF SETTLEMENT AND CONSENT WAS EFFECTIVE AS OF 11/24/1993. REGISTRATION OF OUR FIRM AS A BROKER/ DEALER AND INVESTMENT ADVISOR IN THE STATE WAS APPROVED AS OF THAT DATE ALSO. IN CONCLUSION, THE FIRM AND GARRETT J. NAGLE REPRESENTED TO THE SECURITIES DIVISION OF THE STATE OF RHODE ISLAND THAT THE FAILURE TO APPLY FOR LICENSING WAS INADVERTANT. THE DIVISION STATED THAT IT HAD NO BASIS FOR DOUBTING THAT REPRESENTATION.

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