PETER LORENZO GILL is currently employed as a Broker and/or Investment Adviser at CADARET, GRANT & CO., INC. located at 1692 CENTRAL AVENUE, 2ND FLOOR, ALBANY, NY, 12205.
PETER LORENZO GILL has worked at CADARET, GRANT & CO., INC. since December 08, 2004
PETER LORENZO GILL has 2 Disclosure Event(s).
Date: March 30, 1999 Category: Customer Dispute Allegations: UNSUITABILITY AND CHURNING ALLEGING DAMAGESOF $208,943.00.FROM OCTOBER 1997 THRU OCTOBER 1998,[CUSTOMER] A FORMER ACCOUNT OF MINE, ENDURED STOCKMARKERT LOSSES, CASE WENT TO ARBITRATION. Damage Amount Requested: $208,943.00 Damages Granted: $55,520.00 Broker Comment: NA[CUSTOMER] WAS A CLIENT OF MINE FROM 1994 ON,DID VERY WELL UNTIL SEPTEMBER-OCTOBER 1997 THRU HIM SELLING OUTHIS ACCOUNTS IN SEPTEMBER 1998 MARGIN & CASH ACCOUNT WASHANDLED BY ME I.R.A. WAS TRANSFERRED TO ME IN THE SUMMER OF1997. CLIENT CONTACTED MY PRINCIPAL & HAD ME TAKEN OFF ACCOUNTJULY OF 98 SOLD OUT UNSOLICITED SEPT 25 1998 NEAR SIGNIFICANTBOTTOM MOVED ACCOUNT TO PRO-BACHE ACCOUNT WOULD HAVE RECOVEREDCONSIDERABLY IF LEFT ALONE.CLAIM WAS SUBJECT TO ARBITRATION CONDUCTED MAY 23 &24 WHEREBY CLAIMANT ASKED FOR RELIEF OF $208,943.00. AN AWARD WAS MADE JOINTLY & SEVERALLY AGAINST RESPONDENTS IN THE AMOUNT OF $55,520.00, WHEREBY CLAIMANT WAS DIRECTED TO SIGN OVER CERTAIN SECURITIES TO RESPONDENT ALL OTHER REQUESTS FOR RELIEF WERE DENIED.
Date: April 22, 1994 Category: Criminal Charges: CRIMINAL TRESPASS AND BURGLARY Charge Type: FELONY Disposition: NO CRIMINAL CONVICTION WHATSOEVER-CASE WASDISMISSED; COPY OF DISMISSAL IS ATTACHED TO THIS DRP ALONG WITHPAPERWORK PREVIOUSLY SUBMITTED REGARDING THIS MATTER. Broker Comment: I HAVE RESPONDED TO YOU (NASD) REGARDING THISCOMPLAINT BEFORE. THE TWO INITIAL CHARGES OF 4/22/94 AND5/5/94 WERE CONSOLIDATED INTO ONE CHARGE, WHICH WAS DISMISSED7/13/95. THE CHARGES WERE INSTITUTED BY MY EX-WIFE AND, BASEDUPON THE PROMPT DISMISSAL OF THESE CHARGES, WERE CLEARLYWITHOUT MERIT.
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