LEIGH BALDWIN & CO., LLC of CAZENOVIA, NY is an SEC-registered investment adviser (CRD 38751). Regulatory assets under management: $290.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Leigh Douglas Baldwin | OWNER; PRESIDENT / OWNER / MANAGING MEMBER/ CFO | — |
| Stefanie Lee Dorozynski | CHIEF COMPLIANCE OFFICER | — |
| BALDWIN LEIGH DOUGLAS | OWNER; PRESIDENT / OWNER; PRESIDENT / OWNER / MANAGING MEMBER (+1 more) | — |
| HALLIGAN SHARON RISLEY | CHIEF COMPLIANCE OFFICER; FINANCIAL OPERATIONS PRINCIPAL | — |
| DOROZYNSKI STEFANIE LEE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2010-11-29 | regulatory | NASD RULES 2110, 3010, 6955(A) - LEIGH BALDWIN & CO., LLC FAILED TO TIMELY REPORT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS); TRANSMITTED EXECUTION REPORTS TO OATS THAT THE OATS SYSTEM WAS UNABLE TO LINK TO THE RELATED TRADE REPORT IN THE NASD TRADE REPORTING SYSTEM DUE TO… | Final | $10K |
| 1999-01-14 | regulatory | STATE OF ALABAMA ALLEGED UNLICENSED ACTIVITY BEYOND TRANSACTIONS DISCLOSED IN THE APPLICATION. A CEASE AND DESIST ORDER WAS ENTERED ON 1/14/99, AND A CONSENT ORDER JUNE 1999. | Final | $2K |
| 1997-09-16 | regulatory | THE STATE OF ILLINOIS ALLEGED TRANSACTIONS IN CLIENTS ACCOUNTS PRIOR TO BROKER/DEALERS REGISTRATION IN THAT STATE. | Final | $2K |
| 1997-07-10 | regulatory | NEW HAMPSHIRE ALLEGES UNLICENSED ACTIVITY PRIOR TO REGISTRATION IN THE STATE. | Final | $3K |