MICHAEL Z LANDY

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

Disclosure History

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

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 Z LANDY, click here.

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