J.W. KORTH & COMPANY, LIMITED PARTNERSHIP of LANSING, MI is an SEC-registered investment adviser (CRD 26455). Regulatory assets under management: $228.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Commissions.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Michael Louis Gibbons | CCO | — |
| Holly Christina Macdonald-Korth | FINOP, MANAGING DIRECTOR | — |
| Pamela Jean Hipp | MANAGING DIRECTOR, FIXED INCOME TRADING | — |
| James Wilder Korth | MANAGING PARTNER | — |
| MCCABE EDWARD ANTHONY | FINOPS | — |
| GIBBONS MICHAEL LOUIS | CCO | — |
| KORTH JAMES WILDER | MANAGING PARTNER; OWNER | — |
| MACDONALD-KORTH HOLLY CHRISTINA | FINOP, MANAGING DIRECTOR; FINOP, MANAGING DIRECTOR, LIMITED PARTNER; MANAGING DIRECTOR, LIMITED PARTNER | — |
| HIPP PAMELA JEAN | MANAGING DIRECTOR, FIXED INCOME TRADING; MANAGING DIRECTOR, FIXED INCOME TRADING, LIMITED PARTNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-13 | regulatory | THE SEC ALLEGED OUR FIRM EFFECTED 201 RISKLESS PRINCIPAL TRANSACTIONS FROM MARCH 2015 TO OCTOBER 2018 FOR INVESTMENT ADVISORY CLIENTS WITHOUT PROVIDING PRIOR WRITTEN DISCLOSURE OF OUR CAPACITY IN THE TRANSACTIONS AND OBTAINING TRANSACTION BY TRANSACTION CONSENT. THE SEC ALLEGED THESE TRANSACTIONS WE… | Final | $177K |
| 2014-12-10 | regulatory | ITEM 7. FINRA ALLEGED OUR FIRM CHARGED CUSTOMERS EXCESSIVE MARK-UPS OR MARK DOWNS ON A TOTAL OF 69 MUNICIPAL, CORPORATE AND CMO TRANSACTIONS OUT OF A TOTAL OF MORE THAN 18000 FROM APRIL 2009 TO DECEMBER 2011. | Final | — |
| 2014-09-10 | regulatory | THE COMMISSION'S DIVISION OF SECURITIES AND RETAIL FRANCHISING CONDUCTED AN INVESTIGATION AND ALLEGED OUR FIRM VIOLATED 13.1-504B OF THE ACT BY EMPLOYING AN UNREGISTERED AGENT FOR CERTAIN TRANSACTIONS OCCURRING IN 2011. THE COMMISSION ALSO ALLEGED OUR FIRM VIOLATED STATUTE 21 VAC 5-20-240 BY NOT MAI… | Final | $8K |
| 2007-04-09 | regulatory | NASD RULE 2110,6230 AND MSRB RULE G-14: RESPONDENT MEMBER FIRM REPORTED ITS MUNICIPAL SECURITIES TRANSACTIONS TO THE MSRB LATE: AND ITS CORPORATE BOND TRANSACTIONS REPORTED THROUGH TRACE WERE REPORTED LATE. | Final | $2K |
| 2003-09-04 | regulatory | 9/4/03 DUE TO ACTION BY THE SEC IN 1997 REGARDING A PRINCIPLED DISPUTE OVER THE REASONABLENESS UNDER THE LAW OF PROVIDING THE SERIAL NUMBERS OF CERTAIN BONDS TO EXAMINERS WHEN DOING SO MAY HAVE DEBILITATED THE INTERESTS OF J W KORTH CUSTOMERS(PLEASE SEE CIVIL DRP FOR DETAILS), THE STATE OF CONNECTIC… | Final | — |
| 1997-02-04 | civil | SEC WANTED SERIAL NUMBERS OF REPUDIATED GERMAN DEBT TO DELIVER SAME TO GERMANY UNDER 17(A)(1) AND 17(B) OF THE SECURITY EXCHANGE ACT OF 1934. 02-06-97, SEC NEWS DIGEST ISSUE NO. 97-24, 2/5/97, ENFORCEMENT PROCEEDINGS DISCLOSE: ON 2/4, THE SEC FILED A CIVIL SUIT IN THE U.S. DISTRICT COURT FOR THE SOU… | Final | $55K |
| 1997-02-04 | regulatory | VIOLATIONS OF SECTIONS 17(A)(1) AND 17(B)OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17A-4(J) THEREUNDER. | Final | $55K |