JOSEPH GUNNAR & CO., LLC of UNIONDALE, NY is an SEC-registered investment adviser (CRD 24795). Regulatory assets under management: $34.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Joseph Anthony Jr Alagna | CHAIRMAN, CEO; HOLDING COMPANY CONTROL PARTNER | — |
| Stephan A Stein | PRESIDENT | — |
| Steven Frederic Singer | FINOP | — |
| Douglas Colombo | PRINCIPAL OPERATIONS OFFICER | — |
| William Paul Hodge | CHIEF COMPLIANCE OFFICER / AMLCO | — |
| COLOMBO DOUGLAS | PRINCIPAL OPERATIONS OFFICER | — |
| LAROSE JENNIFER LYNN | CHIEF COMPLIANCE OFFICER | — |
| STEIN HAYLEY A | PRESIDENT | — |
| ALAGNA JOSEPH ANTHONY JR | CHAIRMAN, CEO; HOLDING COMPANY CONTROL PARTNER | — |
| SINGER STEVEN FREDERIC | FINOP | — |
| GERRAPUTA ROBERT ANTHONY | CHIEF COMPLIANCE OFFICER, BROKER DEALER | — |
| CUCCHIA STEPHEN JOHN | CHIEF COMPLIANCE OFFICER- BROKER DEALER | — |
| ROYER CAROLYN DELLER | INVESMENT ADVISORY CCO | — |
| HODGE WILLIAM PAUL | CHIEF COMPLIANCE OFFICER / AMLCO | — |
| GOVIC JOHN MARIO | CHIEF COMPLIANCE OFFICER | — |
| MAZZEI JAMES C | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT CHARGED A MINIMUM COMMISSION OF $100 ON EQUITY TRANSACTIONS, INADDITION TO A HANDLING FEE, WHICH RESULTED IN THE FIRM CHARGING AN UNFAIR COMMISSION. THEFINDINGS STATED THAT AS A RESULT… | Final | $65K |
| 2020-12-04 | regulatory | AML SUPERVISORY DEFICIENCIES | Final | $55K |
| 2017-12-05 | regulatory | FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO PREVENT UNSUITABLE TRADING IN CERTAIN CUSTOMER ACCOUNTS IN VIOLATION OF NASD RULES 3010(A) AND 3010(B) AND FINRA RULES 3110(A), 3110(B) AND 2010. | Final | $60K |
| 2007-05-16 | regulatory | NASD RULES 1031(A), 2110, 2210(B), 2210(C), 2210(D)(1)(A), 2220(C), 2220(D)(2) AND 2711(H) - FROM JULY 9, 2003 THROUGH ON OR ABOUT MARCH 15, 2004, JOSEPH GUNNAR PERMITTED AN INDIVIDUAL TO PARK HIS REGISTRATION WITH THE FIRM. SPECIFICALLY, JOSEPH GUNNAR ALLOWED THE INDIVIDUAL TO MAINTAIN HIS REGISTRA… | Final | $35K |
| 2005-11-23 | regulatory | SEC RULE 15C2-4 AND 15C3-1; NASD CONDUCT RULE 2110; RESPONDENT ENTERED INTO AN ESCROW AGREEMENT WITH THE BANK WITH RESPECT TO THE ESTABLISHMENT OF AN ESCROW ACCOUNT IN CONNECTION WITH AN OFFERING. THE ESCROW AGREEMENT PROVIDED THAT IS A MINIMUM WAS NOT DEPOSITED IN THE ACCOUNT, THE ESCROW ACCOUNT WA… | Final | $20K |
| City | State | Employees | Phone |
|---|---|---|---|
| NEW YORK | NY | 1 | 2124409600 |
| — | — | 1 | 212-440-9600 |
| — | — | 1 | 2124409600 |
| BROOKLYN | NY | 1 | 2124409600 |
| — | — | 1 | 2124409600 |
| — | — | 1 | 212-440-9600 |
| — | — | 1 | 2124409600 |
| BROOKLYN | NY | 1 | 2124409600 |
| — | — | 1 | 2124409600 |