GREYLOCK PEAK INVESTMENTS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 158941).
Compensation: Other.
Clients served: Other.
| Name | Role | Location |
|---|---|---|
| John Hart | MANAGER | Grand Junction, CO |
| Eric Stuart Schwartz | MANAGER | New York, NY |
| Daniel Michael Tapiero | MANAGER | — |
| Steven Mark Feldman | MANAGER | — |
| John Clemens Hathaway | MANAGER | — |
| Michael Loew | CHIEF COMPLIANCE OFFICER | — |
| Marc Scher | PRESIDENT | — |
| FELDMAN JEFFREY MARK | MANAGER | — |
| HART JOHN | MANAGER | — |
| SCHWARTZ ERIC STUART | MANAGER | — |
| HATHAWAY JOHN CLEMENS | MANAGER | — |
| LOEW MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| MARTENSON CHRISTOPHER | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER; MEMBER | — |
| TAGGART ANDREW ADAM PARKER | EXECUTIVE OFFICER; MEMBER | — |
| TAGGART ASHLEY SMITH | MEMBER | — |
| TAPIERO DANIEL MICHAEL | MANAGER | — |
| Scher Marc | PRESIDENT | — |
| Daley Alex | SENIOR VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-10-21 | regulatory | THE MINNESOTA DEPARTMENT OF COMMERCE ALLEGED THAT THE FIRMS CONDUCTED BULLION PRODUCT TRANSACTIONS WITH MINNESOTA CONSUMERS IN AMOUNTS SUBSTANTIALLY EXCEEDING STATUTORY THRESHOLDS, WITHOUT HAVING FIRST REGISTERED WITH THE MINNESOTA DEPARTMENT OF COMMERCE, IN VIOLATION OF MINN. STAT.§ 806.02, SUBD. 1… | Final | $10K |
| 2019-10-17 | regulatory | THE NY ATTORNEY GENERAL'S OFFICE BUREAU OF INVESTOR PROTECTION REQUIRES COMMODITIES BROKER DEALERS TO BE REGISTERED WITH ITS OFFICE. THE FIRMS WERE TARDY WITH THEIR 2019 FILINGS. | Final | $100K |