GT INVESTMENT MANAGEMENT, LLC of LOS ANGELES, CA is an SEC-registered investment adviser (CRD 325619). Regulatory assets under management: $5.5M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| James Steven Turo | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER; SHAREHOLDER | — |
| David Kenneth Lavinsky | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-03-05 | regulatory | IN MARCH 2013, I ENTERED INTO AN AGREEMENT WITH FINRA IN REGARDS TO MY USE OF WEBINARS IN CONNECTION WITH THE MARKETING AND PROMOTION OF MY BUSINESS AND THAT OF MY CLIENTS IN THE PERIOD FROM JANUARY 2008 TO JANUARY 2010, AND HOW SUCH USE WAS ALLEGEDLY IN CONTRAVENTION OF RULE 506 OF REGULATION D IN… | Final | $20K |