INSIGHT SECURITIES, INC. of HIGHLAND PARK, IL is an SEC-registered investment adviser (CRD 5611). Regulatory assets under management: $94.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Carlos Javier Legaspy | PRINCIPAL, PRESIDENT, CEO; SHAREHOLDER | — |
| Michael Joseph Mr. Makula | CFO, FINOP | — |
| Omar James Gaafar | COO | — |
| James J Kim | CCO | — |
| KIM BENJAMIN J | CCO; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/ HEAD OF AML (+1 more) | — |
| HORWITZ GERALD ALLEN | CHAIRMAN / CEO; CHAIRMAN, CEO, PRESIDENT; CHAIRMAN, CEO, PRESIDENT/SROP (+2 more) | — |
| SCHWARTZ JERRY LEONARD | CFO, VICE PRESIDENT; CFO, VICE PRESIDENT, CHIEF OPERATIONS OFFICER; FINOP, CFO, EXEC VICE PRESIDENT, CHIEF OPERATIONS OFFICER | — |
| HORWITZ ROBERTA LEE | SECRETARY | — |
| ELMAN LAWRENCE M | ASSISTANT SECRETARY; CORPORATE SECRETARY | — |
| HORWITZ EDWARD ALAN | PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER; VICE PRESIDENT (+1 more) | — |
| SCHOFF BRADFORD DENNIS | VICE PRESIDENT; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/CROP | — |
| GOLDMAN EUGENE JACK | HOLDING COMPANY STOCKHOLDER; STOCKHOLDER | — |
| KELSEY RONALD LEON | HOLDING COMPANY STOCKHOLDER; STOCKHOLDER | — |
| LEGASPY CARLOS JAVIER | PRESIDENT/CEO; PRESIDENT, SHAREHOLDER; PRINCIPAL, PRESIDENT, CEO (+1 more) | — |
| TRAVIS EUGENE CHARLES JR | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/CROP | — |
| GREGORY RANCE STEPHEN | CHIEF COMPLIANCE OFFICER | — |
| OGRIN JOSEPH DOUGLAS | CHIEF COMPLIANCE OFFICER | — |
| RYAN DIANE CHRISTINE | SECRETARY | — |
| AMORUSO WILLIAM BRUCE | HEAD TRADER; VP - BRANCH OPERATIONS | — |
| MAKULA MICHAEL JOSEPH MR | CFO, FINOP; MANAGER OF FINANCE | — |
| GAAFAR OMAR JAMES | CO-CHIEF COMPLIANCE OFFICER; COO; PRESIDENT (+1 more) | — |
| COUTRE PATRICIA MARIE | HEAD TRADER | — |
| LIEF CHARLES EDWARD | VP-BUSINESS DEVELOPMENT | — |
| LEGETTE MICHAEL HUNT | CHIEF COMPLIANCE OFFICER; VP-COMPLIANCE AND BUSINESS DEVELOPMENT | — |
| GREENSPAN ROSS JEFFREY | VP INSURANCE & SPECIAL PROJECTS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-12 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASEAND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST INSIGHT SECURITIES, INC. ("INSIGHT" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTION OF THESE PR… | Final | $20K |
| 2022-12-16 | regulatory | WITHOUT ADMITING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT INSIGHT SECURITIES DID NOT HAVE A SYSTEM IN PLACE TO REASONABLY ASSURE THAT SOLICITED TRADES IN LEVERAGED AND INVERSE ETFS AND ETNS WERE NOT HELD BY CLIENT LONGER THAN ONE TRADING SESSION | Final | $25K |
| 2022-04-29 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM RETENTION AND REVIEW OF INSTANT MESSAGING FAILED TO BE ADEQUATE | Final | $50K |
| 2019-10-17 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM'S PRICING OF CORPORATE BOND TRANSACTIONS TRADED FOR ITS OWN ACCOUNT FAILED TO BE FAIR. THE FINDINGS STATED THAT THE FIRM FAILED TO TAKE INTO CONSIDERATION ALL RELEVANT CIRCUMSTAN… | Final | $30K |
| 2013-07-03 | regulatory | FINRA RULE 6730(A): THE MEMBER FIRM FAILED TO ACCURATELY REPORT SOME TRANSACTIONS TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) THAT WERE TRACE-ELIBGIBLE TRANSACTIONS. IN EACH OF THE INACCURATELY REPORTED TRANSACTIONS, THE FIRM IMPROPERLY BUNCHED TRANSACTIONS TOGETHER. FOR EXAMPLE, IN ONE INS… | Final | $5K |
| 2007-03-13 | regulatory | SEC RULE 17A-3, NASD RULES 2110,3110,6230 - HORWITZ & ASSOCATES, INC. FAILED TO ACCURATELY OR TIMELY REPORT TRACE-ELIGIBLE SECURITIES TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE). | Final | $8K |
| City | State | Employees | Phone |
|---|---|---|---|
| EL PASO | TX | 2 | 915-996-9510 |
| — | — | 1 | 7122770002 |
| LANCASTER | PA | 1 | 717-393-7003 |
| CORAL GABLES | FL | 1 | (305) 928-1551 |
| CORAL GABLES | FL | 1 | 305-790-5703 |