U. S. BOSTON CAPITAL CORPORATION of LINCOLN, MA is an SEC-registered investment adviser (CRD 5251). Regulatory assets under management: $359.8M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Other.
| Name | Role | Location |
|---|---|---|
| Leon Okurowski | VICE PRESIDENT, DIRECTOR AND CLERK | Lincoln, MA |
| Willard Lee Umphrey | DIRECTOR | — |
| Leon K. Okurowski | VICE PRESIDENT, DIRECTOR AND CLERK | — |
| Deborah Anne Kessinger | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, BROKER DEALER; PRESIDENT | — |
| Diane Hunt | PRINCIPAL OPERATIONS OFFICER; TREASURER | — |
| Alina Monisov | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | — |
| MARIUS FREDERICK STEWART | PRESIDENT AND GENERAL COUNSEL | — |
| UMPHREY WILLARD LEE | DIRECTOR; TREASURER AND DIRECTOR; TREASURER/CFO/PRINCIPAL FINANCIAL OFFICER | — |
| OKUROWSKI LEON | PRESIDENT AND DIRECTOR; VICE PRESIDENT AND DIRECTOR; VICE PRESIDENT, DIRECTOR AND CLERK | — |
| KESSINGER DEBORAH ANNE | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| HIGGINS CAROL ANN | CLERK | — |
| OKUROWSKI LEON K | VICE PRESIDENT, DIRECTOR AND CLERK | — |
| HUNT DIANE | PRINCIPAL OPERATIONS OFFICER; TREASURER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-06-05 | regulatory | FAILURE TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA RULES 2010, 3110 AND 2210 WITH RESPECT TO CONSOLIDATED REPORTS. THE FIRM SENT CONSOLIDATED REPORTS TO ITS CUSTOMERS THAT CONTAINED INACCURATE VALUATIONS OF ILLIQUID PRIVATE PLACEMENTS MANAGED… | Final | $125K |