RANDOLPH LOUIS MESSINA is currently employed as a Broker and/or Investment Adviser at THE GMS GROUP, LLC located at 5N REGENT STREET, SUITE 513, LIVINGSTON, NJ, 07039.
RANDOLPH LOUIS MESSINA has worked at THE GMS GROUP, LLC since May 30, 1997
Disclosure History
RANDOLPH LOUIS MESSINA has 6 Disclosure Event(s).
Date: August 21, 1997 Category: Regulatory
Date: March 14, 1988 Category: Regulatory
Date: February 02, 1977 Category: Regulatory
Date: July 04, 1975 Category: Employment Separation After Allegations Firm Name: EDWARDS & HANLEY Termination Type: Voluntary Resignation Allegations: MESSINA LEFT EDWARDS & HANLY IN JULY 1974 WHEN THEFIRM SUSPENDED HIM FROM TRADING WHILE THE NYSE CONDUCTED ANINVESTIGATION CONCERNING MESSINA'S ACCEPTING THIRD PARTY ORDERSWITHOUT HAVING OBTAINED WRITTEN AUTHORIZATIONS FROM THECUSTOMERS.
Date: February 25, 1972 Category: Regulatory Initiated By: NEW YORK STOCK EXCHANGE Resolution: Decision SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $1,000.00
Date: October 30, 1966 Category: Criminal Charges: CHARGE - ASSAULT AND BATTERY WITH A FIST Charge Type: FELONY Disposition: THE CASE WAS DISMISSED. Broker Comment: IN 1966, AT THE AGE OF 18, I WAS INVOLVED IN AN ALTERCATION WITH A PEER. UNFORTUNATELY, THE POLICE BECAME INVOLVED AND I WAS CHARGED WITH ASSAULT. ONCE THE INSIGNIFICANT NATURE OF THE EVENT WAS DISCLOSED, THE MATTER WAS DISMISSED. THE LOCAL, COUNTY, AND STATE POLICE DO NOT HAVE ANY RECORDS OF THE INCIDENT. THEREFORE, I MUST DISCLOSE THE EVENT ON THE FORM U-4 TO SATISFY NASD REPORTING REQUIREMENTS.
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