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ROBERT IRWIN KOLLACK

ROBERT IRWIN KOLLACK is currently employed as a Broker and/or Investment Adviser at MARTIN NELSON & CO., INC. located at 1500 WESTLAKE AVE N # 200, SEATTLE, WA, 98109.

ROBERT IRWIN KOLLACK has worked at MARTIN NELSON & CO., INC. since November 15, 2005

Disclosure History

ROBERT IRWIN KOLLACK has 5 Disclosure Event(s).

Date: August 26, 1991
Category: Regulatory

Date: June 13, 1989
Category: Regulatory
Initiated By: FLORIDA
Allegations: THE STATE HAS DETERMINED THAT THE RESPONDENT AS IDENTIFIED HAS BEEN INVOLVED IN THE SALE OF UNREGISTERED SECURITIES, HAS SOLD SECURITIES UNDER THE AUSPICES OF A COMPANY NOT PROPERLY REGISTERED AS A BROKER/DEALER, EFFECTED CUSTOMER TRANSACTIONS NOT RECORDED ON THE REGULAR BOOKS OR RECORDS OF A FIRM,AND FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY PROCEDURES AS REQUIRED.
Resolution: Decision SanctionDetails:
Sanctions: Cease and Desist/Injunction Sanction Details: ON JUNE 13, 1989, THE STATE OF FLORIDA ENTERED AN ORDER TO CEASE & DESIST TO ROBERT I. KOLLACK. ACCORDINGLY, THE RESPONDENT IS ORDERED TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF CHAPTER 517, FLORIDA STATUTES.
Broker Comment: ON JUNE 13, 1989, THE STATE OF FLORIDA ENTERED AN ORDER TO CEASE & DESIST TO ROBERT I. KOLLACK. ACCORDINGLY, THE RESPONDENT IS ORDERED TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF CHAPTER 517, FLORIDA STATUTES.

Date: October 26, 1987
Category: Regulatory
Initiated By: PENNSYLVANIA
Allegations: SECTION 301(A) AND 305(A) (VII) OF THE PENNSYLVANIA SECURITIES ACT FOR CONDUCTING BROKER-DEALER ACTIVITIES IN PA WITHOUT REGISTRATION AND FAILING TO SUPERVISE AGENTS.
Resolution: Decision SanctionDetails:
Sanctions: Suspension Sanction Details: ON OCTOBER 26, 1987,PENNSYLVANIA SIMULTANEOUSLY REGISTERED AND SUSPENDED THE REGISTRATION OF KOLLACK FOR A PERIOD OF 120 DAYS (WITH MODIFICATION FORLIQUIDATING AND PRESENT CUSTOMER ACCOUNTS) BASED ON A FINDINGTHAT HE VIOLATED BACK-FEES AND COSTS OF INVESTIGATIONWERE IMPOSED.
Broker Comment: NATIONAL SECURITIESCORPORATION AND HOWARD W. JONES, JR., DIRECTOR, WERE NAMED BYTHE COMMONWEALTH OF PENNSYLVANIA, ADMINISTRATIVE DOCKET #8708-8,BY PENNSYLVANIA SECURITIES COMMISSION FOR VIOLATIONS OF CERTAINPROVISIONS OF PENNSYLVANIA SECURITIES ACT OF 1972 IN CONNECTIONWITH OFFER AND SALE OF SECURITIES IN PENNSYLVANIA PRIOR TOBROKER/DEALER REGISTRATION.

Date: December 09, 1986
Category: Regulatory

Date: September 17, 1984
Category: Regulatory
Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Resolution: Consent SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $3,000.00

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