TAGLICH BROTHERS, INC. of COLD SPRING HARBOR, NY is an SEC-registered investment adviser (CRD 29102). Regulatory assets under management: $37.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Michael Nicholas Taglich | PRESIDENT, CEO, FINOP, ROP | — |
| Robert Francis Taglich | VICE PRESIDENT | — |
| Richard C Oh | CHIEF COMPLIANCE OFFICER | — |
| OH RICHARD C | CHIEF COMPLIANCE OFFICER | — |
| TAGLICH MICHAEL NICHOLAS | PRESIDENT, CEO, FINOP, ROP | — |
| TAGLICH ROBERT FRANCIS | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2007-04-23 | regulatory | DID NOT FOLLOW INTERNAL PROCEDURES TO ANNUALLY REVIEW FEE-BASED ACCOUNT COMPENSATION STRUCTURE. | Final | $25K |
| 2003-11-20 | regulatory | TAGLICH BROTHERS, INC. DID NOT DISCLOSE IN ITS DISCLAIMER TO ITS RESEARCH REPORTS THE EXACT AMOUNT OF COMPENSATION TAGLICH BROTHERS RECEIVED FOR THE PUBLICATION OF ITS RESEARCH REPORTS UNTIL NOVEMBER, 2003. | Final | $25K |
| 2003-11-20 | regulatory | TAGLICH BROTHERS, INC. DID NOT DISCLOSE IN ITS DISCLAIMER TO ITS RESEARCH REPORTS THE EXACT AMOUNT OF COMPENSATION TAGLICH BROTHERS RECEIVED FOR THE PUBLICATION OF ITS RESEARCH REPORTS UNTIL NOVEMBER, 2003. | Final | $50K |
| 2001-11-13 | regulatory | NASD RULES 2110, 3010(A) - RESPONDENT FAILED TO REVIEW ORDER TICKETS AND TO ENSURE THAT THEY WERE FILLED OUT CORRECTLY AND ENGAGED IN CONDUCT THAT DID NOT COMPLY WITH HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF TRADE. IT WAS ALLEGED THAT TAGLICH BROTHERS FAILED TO MAKE AN… | Final | $5K |
| 2001-11-13 | regulatory | IT WAS ALLEGED THAT DURING THE TIME PERIOD FROM 1997 TO 1999, TAGLICH BROTHERS FAILED TO ENSURE THAT THE CONFIRMATION SLIPS CREATED AND PRODUCED BY ITS CLEARING FIRM DISCLOSED THE ADDITIONAL COMPENSATION RECEIVED FROM ITS CLEARING FIRM ON SOME TRADES, FAILED TO DETECT AND CORRECT THE AMBIGUITY AS TO… | Final | $35K |
| 1994-06-29 | regulatory | ENGAGED IN ONE TRANSACTION IN THE STATE PRIOR TO REGISTRATION. | Final | $1K |
| 1994-06-29 | regulatory | RESPONDENTS TRANSACTED BUSINESS IN MINNESOTA AS A BROKER DEALER OR AGENT WITHOUT BEING PROPERLY LICENSED PURSUANT TO MN STAT CHAP 80A.04 (1990) | Final | $2K |
| 1992-07-13 | regulatory | THE STATE OF MINNESOTA ALLEGED APPLICANT TRANSACTED BUSINESS IN THE STATE AS A BROKER/DEALER OF AGENT WITHOUT BEING LICENSED BY THE STATE. INITIAL APPLICATION FOR REGISTRATION WITH THE STATE WAS MADE WHEN THE FIRM WAS FORMED, DECEMBER, 1991. THE PRINCIPALS HAD BEEN WITH ANOTHER BROKER/DEALER REGISTE… | Final | $5K |
| 1991-09-01 | regulatory | IT WAS ALLEGED THAT WEATHERLY SECURITIES CORP. (PRIOR EMPLOYER) AND MICHAEL TAGLICH DID NOT COMPLY WITH ARTICLE III, SECTIONS 1 AND 4 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE REGARDING TRANSACTIONS OF ATARI CORP. BOND. | Final | $16K |