MARY GRACE FISCHETTI

MARY GRACE FISCHETTI is currently employed as a Broker and/or Investment Adviser at AEGIS CAPITAL CORP. located at 40 WALL STREET, 46TH FLOOR, NEW YORK, NY, 10005.

MARY GRACE FISCHETTI has worked at AEGIS CAPITAL CORP. since July 18, 2014

Disclosure History

MARY GRACE FISCHETTI has 2 Disclosure Event(s).

Date: May 23, 1980
Category: Regulatory

Date: February 07, 1979
Category: Employment Separation After Allegations
Firm Name: MOSLEY, HALLGARTEN, ESTABROOK & WEEDON, INC.
Termination Type: Permitted to Resign
Allegations: ALLEDGED SENDING MAIL NOT IN ACCORDANCE WITH FIRM POLICY.
Broker Comment: MARY G.FISCHETTI WAS DISCHARGED FROM MOSLEY, HALLGARTEN, ESTABROOK & WEEDEN, INC. ON 2/7/79, FISCHETTI AND HER FORMER EMPLOYERAGREED ON A TWO WEEK PERIOD FOR CHANGE OF EMPLOYMENT. HERREQUESTED REISGNATION WAS DUE TO THE FACT THAT SHE WAS SENDING MAIL NOT IN ACCORDANCE WITH FIRM'S POLICY. FISCHETTI FAILED TO SHOW TO, AND RECEIVE INITIALLED APPROVAL FROM THE OFFICE MANAGER BEFORE MAILING. THE FIRST 2 LETTERS, FISCHETTI MAILED WERE ANNOUNCEMENTS OF A SECONDARY UTILITY OFFERING --- MAKING THE STATEMENT "NO COMMISSIONS" WHICH WAS INCORRECT. FISCHETTI REVISED THE LETTER TO STATE "NET BASIS" WHICH WAS CORRECT, ANDAPPROVED BY COMPLIANCE AND OFFICE MANAGER. THE SECOND LETTER, ENCLOSED COMPANY RESEARCH, AND OFFERED A 35% DISCOUNT ON AN ENCLOSED COMMISSION SCHEDULE, AND ALSO AN INVITATION TO HAVE THEIR NAMED PLACED ON THE FIRM'S MAILING LIST. FISCHETTI WAS CENSURED AND FINED BY THE NEW YORK STOCK EXCHANGE, INC. IN 1980.

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