JONATHAN D SDAO is currently employed as a Broker and/or Investment Adviser at BREAN CAPITAL, LLC located at 3 TIMES SQUARE, 14TH FLOOR, NEW YORK, NY, 10036.

JONATHAN D SDAO has worked at BREAN CAPITAL, LLC since March 23, 2017

Disclosure History

JONATHAN D SDAO has 1 Disclosure Event(s).

Date: March 03, 2017
Category: Employment Separation After Allegations
Firm Name: Deutsche Bank Securities Inc. ("DBSI")
Termination Type: Discharged
Allegations: Following a review of communications in connection with a regulatory request for information regarding CMBS Trading, the Firm investigated allegations that Mr. S'Dao's communications and trading conduct violated the Firm's policies, procedures and/or practices. The Firm concluded that Mr. S'Dao's conduct failed to adhere to the firm's policies, procedures and/or practices.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JONATHAN D SDAO, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.