NEEDHAM & COMPANY, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 16360). This firm reports disciplinary history on Form ADV.
Compensation: Fixed, Commissions, Other.
Clients served: Other.
Showing 25 of 37 people.
| Name | Role | Location |
|---|---|---|
| White Robert | DIRECTOR | Long Beach, CA |
| John Joseph Jr Prior | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | — |
| James Michael Abbruzzese | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | — |
| George Austin Needham | SHAREHOLDER | — |
| Andrew Joseph Malik | MANAGING DIRECTOR, CHAIRMAN | — |
| Jack James Iacovone | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | — |
| Robert Joseph Fiordaliso | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| Salvatore Anthony Merlino | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| Thomas Anthony Maloney | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | — |
| John Patrick Malloy | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | — |
| David Michael Laufer | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | — |
| OBRIEN KEVIN JOHN | MANAGING DIRECTOR, ACTING CO-HEAD OF TRADING | — |
| NEEDHAM GEORGE AUSTIN | CHAIRMAN; CHAIRMAN, CEO; SHAREHOLDER | — |
| ALBANESE GLEN WILLIAM | CFO; CFO, MANAGING DIRECTOR | — |
| ABBRUZZESE JAMES MICHAEL | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER; MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER/ACTING CO-HEAD OF TRADING; MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES (+3 more) | — |
| FOSS WARREN MASON JR | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS; MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | — |
| PRIOR JOHN JOSEPH JR | CEO, MANAGING DIRECTOR; CEO, MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING; MANAGING DIRECTOR, CEO (+4 more) | — |
| LAZO JOHN JR | MANAGING DIRECTOR, HEAD OF TRADING | — |
| DWYER SEAN CHRISTIAN | MANAGING DIRECTOR, HEAD OF SALES TRADING | — |
| VANVALKENBURGH MARK RAYMOND | MANAGING DIRECTOR, HEAD OF SALES | — |
| LIROLA BERNARD HENRI | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | — |
| SCHECHNER DAVID SYDNEY | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | — |
| GILKES CRAIG MILTON | MANAGING DIRECTOR - ACTING HEAD OF SALES | — |
| MALIK ANDREW JOSEPH | MANAGING DIRECTOR - CHAIRMAN; MANAGING DIRECTOR, CHAIRMAN | — |
| MICHAELSON JOHN CHARLES | MANAGING DIRECTOR; MANAGING DIRECTOR, DIRECTOR | — |
Showing 10 of 19 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-03-04 | regulatory | DURING THE PERIOD JULY 1, 2019 THROUGH APRIL 6, 2020 (THE "REVIEW PERIOD"), THE FIRM VIOLATED NASDAQ RULE 4613(A), AND DURING THE PERIOD JULY 1, 2019 THROUGH MARCH 24, 2021 (THE "SUPERVISORY REVIEW PERIOD"), THE FIRM VIOLATED NASDAQ RULES 3010 AND 2010A (FOR CONDUCT BEFORE DECEMBER 6, 2019), AND NAS… | Final | $20K |
| 2014-12-11 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND THE ENTRY OF FINDINGS THAT IT FAILED TO ADOPT AND IMPLEMENT ADEQUATE WRITTEN SUPERVISORY PROCEDURES (WSPS) GOVERNING ANALYST INVOLVEMENT IN INVESTMENT BANKING SOLICITATIONS AND OFFERS OF FAVORABLE RESEARCH. THE FINDIN… | Final | $2.5M |
| 2007-12-18 | regulatory | WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, NEEDHAM CONSENTED TO THE ENTRY OF FINDINGS THAT THE FIRMS ADVERTISED VOLUME IN THREE SECURITIES FOR ONE MONTH EXCEEDED ITS EXECUTED VOLUME IN THE SAME SECURITIES, AND THAT THE FIRM FAILED ADEQUATELY TO SUPERVISE ITS ACTIVITIES IN MAKING SUCH ADVERTISEMEN… | Final | $200K |
| 2005-05-03 | regulatory | THE FIRM REPORTED TO OATS 50 EXECUTION REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA. IN 63 INSTANCES WHEN THE FIRM ACTED AS PRINCIPAL FOR ITS OWN ACCOUNT, THE FIRM FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMERS THAT IT WAS A MARKET MAKER IN EACH SEC… | Final | $8K |
| 2004-02-06 | regulatory | FROM NOVEMBER 10 THROUGH NOVEMBER 21, 2003 THE FIRM TRANSMITTED TO OATS 11 REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA. THE FIRM ALSO FAILED ON 10 OCCASIONS TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMERS ITS CORRECT CAPACITY FOR THE TRANSACTION | Final | $8K |
| 2003-07-01 | regulatory | NEEDHAM WAS ALLEGED TO HAVE VIOLATED SECTION 17(B) OF THE SECURITIES ACT BY RECEIVING PAYMENTS FROM UNDERWRITERS FOR PUBLISHING RESEARCH REPORTS ON FOUR OCCASIONS DURING 1999, 2000 AND 2001 THAT DESCRIBED CERTAIN SECURITIES WITHOUT DISCLOSING SUCH RECEIPT OR THE AMOUNTS OF SUCH PAYMENTS AND SECTION… | Final | $700K |
| 2002-04-15 | regulatory | NEEDHAM & COMPANY, INC., FAILED TO COMPLY WITH THE FOLLOWING RULES: EXCHANGE ACT RULE 11AC1-1 ("SEC FIRM QUOTE RULE"), NASD MARKETPLACE RULE 4613(B)("NASD FIRM QUOTE RULE"), NASD TRADE-OR-MOVE RULE, NASD MARKETPLACE RULE 4613(E)(1)(C), AND SEC RULE 11AC1-4 (THE "LIMIT ORDER DISPLAY RULE"). | Final | $68K |
| 2001-11-12 | regulatory | VIOLATED NASD CONDUCT RULE 2110, 2320, AND IM-2110-2 | Final | $65K |
| 2001-10-09 | regulatory | BETWEEN OCTOBER 2, 2000 AND OCTOBER 31, 2000, NEEDHAM FAILED TO CONTEMPORANEOUSLY OR PARTIALLY EXECUTE SEVEN CUSTOMER LIMIT ORDERS IN SIX NASDAQ SECURITIES AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET MAKING ACCOUNT AT AS PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER. ALSO… | Final | $33K |
| 1999-10-04 | regulatory | 10/08/1999JJM--RESPONDENT MEMBER ENGAGED IN A SERIES OF SALES OF SHARES IN INITIAL PUBLIC OFFERINGS, WHICH TRADED AT A PREMIUM IN THE SECONDARY MARKET (HOT ISSUE), TO ACCOUNTS OF INVESTMENT PARTNERSHIPS OR CORPORATIONS, INCLUDING BUT NOT LIMITED TO HEDGE FUNDS, INVESTMENT CLUBS, AND OTHER LIKE ACCOU… | Final | $5K |