MICHAEL Z LANDY is currently employed as a Broker and/or Investment Adviser at IMPERIAL CAPITAL, LLC located at 10100 Santa Monica Blvd., SUITE 2400, LOS ANGELES, CA, 90067.
MICHAEL Z LANDY has worked at IMPERIAL CAPITAL, LLC since December 17, 1997
MICHAEL Z LANDY has 5 Disclosure Event(s).
Date: October 31, 1990 Category: Regulatory Initiated By: MARYLAND SECURITIES COMMISSIONS Allegations: BASED ON A SUSPENSION IMPOSED BY THE SEC, THEMARYLAND SECURITIES COMMISSIONER SUMMARILY SUSPENDED MYREGISTRATION AS AN AGENT. BY CONSENT ORDER, I HAVE VOLUNTARILYWITHDRAWN MY MARYLAND REGISTRATION AND HAVE AGREED NOT TOREAPPLY FOR A PERIOD OF ONY YEAR FROM THE DATE OF THE ORDER. Resolution: Order SanctionDetails: Sanctions: Suspension Sanction Details: VOLUNTARY WITHDRAWAL AS AN AGENT IN THE STATE OFMARYLAND WITH THE RIGHT TO REAPPLY AFTER ONE YEAR. Broker Comment: NOT PROVIDED
Date: October 22, 1990 Category: Regulatory Initiated By: OREGON DEPARTMENT OF INSURANCE AND FINANCE Allegations: BASED ON A SUSPENSION IMPOSED BY THE SEC, THEOREGON DEPARTMENT OF INSURANCE AND FINANCE DEPORTMENT SUSPENDEDMY OREGON SECURITIES AGENT LICENSE WHICH WILL TERMINATE AT THEEND OF THE SEC SUSPENSION Resolution: Order SanctionDetails: Sanctions: Suspension Sanction Details: SUSPENSION CONCURRED WITH SEC SUSPENSION Broker Comment: NOT PROVIDED
Date: September 07, 1990 Category: Regulatory Initiated By: WI Allegations: U.S. SECURITIES & EXCHANGE COMMISSIONSUSPENDED RESPONDENT FROM ANY ASSOCIATION WITH ANYBROKER-DEALER OR INVESTMENT ADVISOR UNTIL 2/2/91 FOR VIOLATIONSOF RULES 7(e) AND (f) AND 17a-3 OF THE SECURITIES EXCHANGE ACTOF 1934 Resolution: Order SanctionDetails: Sanctions: Suspension Sanction Details: SUMMARY ORDER OF SUSPENSION OF SECURITIES AGENTLICENSE UNTIL 2/2/91. Broker Comment: NOT PROVIDED
Date: August 06, 1990 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Resolution: Consent SanctionDetails: Sanctions: Suspension Broker Comment: Not Provided
Date: March 20, 1975 Category: Civil
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