MICHAEL JAMES CARUSO is currently employed as a Broker and/or Investment Adviser at NATIXIS SECURITIES AMERICAS LLC located at 1251 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020.
MICHAEL JAMES CARUSO has worked at NATIXIS SECURITIES AMERICAS LLC since August 21, 2012
Disclosure History
MICHAEL JAMES CARUSO has 2 Disclosure Event(s).
Date: June 11, 2001 Category: Criminal Charges: THEFT OF SERVICES Disposition: Dismissed Broker Comment: ALTERCATION WITH CAB DRIVER. CHARGES WERE DISMISSED. COURT RECORDS TO BE MAILED FROM CHICAGO.
Date: April 01, 1999 Category: Criminal Charges: SHOPLIFTING Disposition: Deferred Adjudication Broker Comment: ARRESTED FOR SHOPLIFTING IN HIGH SCHOOL.
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 MICHAEL JAMES CARUSO, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.