ROBERT JOHN MCGINNIS is currently employed as a Broker and/or Investment Adviser at KGS-ALPHA CAPITAL MARKETS, L.P. located at 521 FIFTH AVENUE, 3RD FLOOR, NEW YORK, NY, 10175.
ROBERT JOHN MCGINNIS has worked at KGS-ALPHA CAPITAL MARKETS, L.P. since January 03, 2011
Disclosure History
ROBERT JOHN MCGINNIS has 5 Disclosure Event(s).
Date: September 02, 2011 Category: Civil
Date: September 02, 2011 Category: Customer Dispute Allegations: The FHFA asserts various claims under State and Federal securities laws and common law claims in connection with enterprises (Freddie Mac and Fannie Mae)purchase of private label mortgage-backed securities. Damage Amount Requested: $5,000.00 Settlement Amount: $550,000,000,000.00
Date: February 24, 2011 Category: Customer Dispute Allegations: THE PURCHASER OF CERTAIN MORTGAGE-BACKED SECURITIES BROUGHT A CLAIM UNDER MASSACHUSETTS GENERAL LAW CHAPTER 110A SUB SECTION 410. THE INDIVIDUAL IS NAMED BECAUSE ACCORDING TO THE COMPLAINT, HE WAS AN OFFICER AND/OR DIRECTOR OF A RELEVANT ENTITY AND WAS A SIGNATORY TO THE REGISTRATION STATEMENT. Damage Amount Requested: $5,000.00 Settlement Amount: $15,000.00 Broker Comment: This case was dismissed with prejudice on 08/12/2016. The dollar amount of the settlement is confidential, however, this settled for more than $15,000. As a result of the settlement, the case as to Robert J. McGinnis was terminated.
Date: July 19, 2010 Category: Customer Dispute Allegations: THE PURCHASERS OF CERTAIN MORTGAGE BACKED SECURITIES HAVE BROUGHT CLAIMS THAT ARISE UNDER SECTIONS 11, 12(A)(2) AND 15 OF THE SECURITIES ACT. THE INDIVIDUAL IS NAMED BECAUSE, ACCORDING TO THE COMPLAINT, HE WAS AN OFFICER AND/OR DIRECTOR OF A RELEVANT ENTITY AND WAS A SIGNATORY TO THE REGISTRATION STATEMENT. Damage Amount Requested: $5,000.00 Settlement Amount: $275,000,000.00 Broker Comment: Although RBS contributed the settlement amount, the individual did not contribute any monies to settlement.
Date: March 12, 2009 Category: Customer Dispute Allegations: THE PURCHASERS OF CERTAIN MORTGAGE BACKED SECURITIES HAVE BROUGHT CLAIMS THAT ARISE UNDER SECTIONS 11, 12(A)(2) AND 15 OF THE SECURITIES ACT. THE INDIVIDUAL IS NAMED BECAUSE, ACCORDING TO THE COMPLAINT, HE WAS AN OFFICER AND/OR DIRECTOR OF A RELEVANT ENTITY AND WAS A SIGNATORY TO THE REGISTRATION STATEMENT. Damage Amount Requested: $5,000.00 Settlement Amount: $11,250,000.00 Broker Comment: THE INDIVIDUAL WAS NOT REQUIRED TO CONTRIBUTE TO THE SETTLEMENT AMOUNT.
More Information
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