OWEN VINCENT KANE is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 319 BARRY AVE., SUITE 110, WAYZATZ, MN, 55391.
OWEN VINCENT KANE has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since January 04, 2012
OWEN VINCENT KANE has 3 Disclosure Event(s).
Date: October 08, 1987 Category: Regulatory Initiated By: NORTH CAROLINA Allegations: NA Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: RESPONDENT'S LICENSE ASA SECURITIES SALESMAN WAS REVOKED BASED UPON A SIX MONTHSUSPENSION IMPOSED BY THE SEC. DOCKET/CASE NO. SR85-021, DATEDOCTOBER 8, 1987. Broker Comment: ON OCTOBER 8, 1987, THE STATE OF NORTH CAROLINA REVOKED MR. KANE'S REGISTRATION AS A SALESMAN IN THE STATE FOR THE FOLLOWING REASON(S): ON APRIL 27, 1984, THE SECURITIES AND EXCHANGE COMMISSION INSTITUTED PROCEEDINGS AGAINST A.G. BECKER, INC. AND MR. KANE ALLEGING THAT BOTH HAD WILLFULLY VIOLATED THE REGISTRATION PROVISIONS OF THE SECURITIES ACT OF 1933 BY PARTICIPATING IN THE OFFERING OF 150,000 SHARES OF UNREGISTERED COMMON STOCK OF GRANDMA LEE'S, INC. AND ACQUIRED AND REDISTRIBUTED SHARES FROM OFFICERS AND EMPLOYEES OF GRANDMA LEE'S AND OTHERS. ON MARCH 27, 1985, THE CHIEF ADMINISTRATIVE LAW JUDGE ISSUED AN INITIAL ORDER SUSPENDING MR. KANE FROM ASSOCIATION WITH A BROKER DEALER FOR SIX MONTHS. ON NOVEMBER 26, 1986, THE DECISION OF THE LAW JUDGE WAS UPHELD BY THE COMMISSION AND MR. KANE WAS SUSPENDED FOR SIX MONTHS BASED ON DENIAL OF THE APPEAL.
Date: September 09, 1985 Category: Regulatory Initiated By: SOUTH DAKOTA Allegations: NA Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: KANE HAD 30 DAYS IN WHICH TOREQUEST A HEARING; NONE REQUESTED, REVOCATION EFFECTIVE9/9/85. Broker Comment: THE STATE REFUSED TO VACATE ITS ORDER DENYING REGISTRATION, STATING THAT THE PETITION TO APPEAL SEC'S INITIAL DECISION "MERELY DELAYS THE AFFECT OF THE ORDER.
Date: April 27, 1984 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Allegations: VIOLATED THE REGISTRATION PROVISIONS OF THE SECURITIES ACT OF 1933 BY PARTICIPATING IN THE OFFER AND SALE OF 150,000 SHARES OF UNREGISTERED COMMON STOCK OF GRANDMA LEE'S, INC AND ACQUIRED AND REDISTRIBUTED THESE UNREGISTERED SHARES FROM OFFICERS AND EMPLOYEES OF GRANDMA LEE'S AND OTHERS. Resolution: Decision SanctionDetails: Sanctions: Suspension Sanction Details: SIX MONTH SUSPENSION. THE COURT OF APPEALS FOR THE EIGHTH CIRCUIT RECENTLY AFFIRMED SEC?S ORDER. SEC ACCORDINGLY MADE KANE'S SUSPENSION EFFECTIVE AS OF 4/25/88 Broker Comment: ON NOVEMBER 20, 1986, THE SEC ENTERED AN ORDER OF SUSPENSION AGAINST MR. KANE FOR A PERIOD OF SIX MONTHS TO COMMENCE DECEMBER 5, 1986. ON DECEMBER 8, 1986, THE COMMISSION STAYED ITS SANCTION PENDING REVIEW BY THE U.S. COURT OF APPEALS. ON MARCH 14, 1988, THE COMMISSION'S SANCTIONS WERE AFFIRMED BY THE COURT OF APPEALS.
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