PAUL GERARD CUOMO is currently employed as a Broker and/or Investment Adviser at CITIZENS SECURITIES, INC. located at 716 MAIN STREET, MS: MA-781, WALTHAM, MA, 02451.
PAUL GERARD CUOMO has worked at CITIZENS SECURITIES, INC. since February 07, 2017
PAUL GERARD CUOMO has 3 Disclosure Event(s).
Date: January 10, 2017 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: January 05, 1999 Category: Regulatory
Date: June 29, 1998 Category: Regulatory Initiated By: AL Allegations: ON 04/30/98, AN APPLICATION FOR REGISTRATIONAS A BD WAS RECEIVED FROM LEERINK, SWANN, GARRITY, SOLLAMI,YAFFE & WYNN, ING., DBA LEERINK SWANN & COMPANY. INCLUDEDWITHTHE APPLICATION WAS AN AFFIDAVIT THAT NO SECURITIESBUSINESS HAD BEEN TRANSACTED IN ALABAMA. INFORMATION FROMCLEARING FIRM DISCLOSED 6 ALABAMA ACCOUNTS OPENED AND DURINGTHE PERIOD 11/29/96 TO 05/27/98, 64 TRANSACTIONS WERE EFFECTEDIN 5 OF THE ACCOUNTS. A CEASE AND DESIST ORDER WAS ISSUED ON06/29/98 TO LEERINK AND ITS AGENTS GERALD EDWARD ABROSH, JR.,PAUL GERARD CUOMO, JR. AND SKIFTER AJRO, ALLEGING VIOLATIONS OFSECTIONS 8-6-3(A), 8-6-3(J), 8-6-3(J)(10) AND COMMISSION RULE830-X-3-.13, FOR EFFECTING SECURITIES TRANSACTIONS PRIOR TOREGISTRATION, FILING AN APPLICATION WHICH CONTAINED A FALSESTATEMENT AND FAILURE TO DILIGENTLY SUPERVISE AGENTS. Resolution: Order SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: RESCISSION OFFERS WERE REQUIRED IN THE AGGREGATEAMOUNT OF $133,106.58. THE VIOLATIONS WERE RESOLVED BY CONSENTORDER ON 01/05/99, AND AN ADMINISTRATIVE ASSESSMENT OF $5,000AND INVESTIGATIVE COSTS OF $2,000 LEVIED.
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