THE GMS GROUP, LLC of EAST HANOVER, NJ is an SEC-registered investment adviser (CRD 8000). Regulatory assets under management: $19.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Pooled vehicles, Charities.
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| Name | Role | Location |
|---|---|---|
| Timothy Joseph Donohue | PRESIDENT; SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | — |
| Paul Robert Konsig | CEO; DIRECTOR | — |
| David Bruce Korostoff | DIRECTOR, SR. VICE PRESIDENT | — |
| Barbara Benedict Price | DIRECTOR, SR. VICE PRESIDENT | — |
| Melvin Feldman | DIRECTOR, SR VICE PRESIDENT | — |
| Michael James Mckenna | EXECUTIVE VICE PRESIDENT | — |
| Justyn Seth Feldman | SENIOR VICE PRESIDENT - DIRECTOR | — |
| Paul David Mante | SENIOR VICE PRESIDENT - DIRECTOR | — |
| Danielle Denise Dembowski | CHIEF FINANCIAL OFFICER | — |
| Leonardo Estanislao | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | — |
| Carmine Claudio Capone | EXECUTIVE VICE PRESIDENT/DIRECTOR | — |
| Jeffrey Paul Lenzi | SENIOR VICE PRESIDENT/DIRECTOR | — |
| Stephen Glenn Vessels | EXECUTIVE VP; SENIOR VICE PRESIDENT/DIRECTOR | — |
| Matthew Eric Lipman | SECRETARY | — |
| DONOHUE TIMOTHY JOSEPH | PRESIDENT; SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO; SROP/CROP/EVP/SECRETARY/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | — |
| KORN JERRY DAVID | CFO/ TREASURER; DIRECTOR | — |
| KONSIG PAUL ROBERT | CEO; DIRECTOR; PRESIDENT, CEO | — |
| KOROSTOFF DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | — |
| STEETS PAUL ANTHONY | DIRECTOR, EXECUTIVE VICE PRESIDENT | — |
| PRICE BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | — |
| FELDMAN MELVIN | DIRECTOR, SR VICE PRESIDENT | — |
| MCKENNA MICHAEL JAMES | DIRECTOR, SENIOR VICE PRESIDENT; EXECUTIVE VICE PRESIDENT | — |
| LIPMAN MATTHEW ERIC | SECRETARY | — |
| FELDMAN JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | — |
| MANTE PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-01-15 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FROM JUNE 30, 2020, UNTIL OCTOBER 2023, THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 15L-1(A)(1)… | Final | $35K |
| 2021-02-05 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT CHARGED UNFAIR AND UNREASONABLE MARK-UPS AND MARK-DOWNS IN TRANSACTIONS INVOLVING BELOW INVESTMENT GRADE MUNICIPAL SECURITIES, WHICH RANGED FROM 3.0% TO 5.85% ABOVE THE PREVAILING MARK… | Final | $90K |
| 2016-12-28 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT RECOMMENDED AND SOLD MUNICIPAL BONDS TO RETAIL CUSTOMERS IN AMOUNTS BELOW THE MINIMUM DENOMINATION. THE FINDINGS STATED THAT ON THREE OCCASIONS, THE FIRM FAILED TO DISCLOSE TO CUTOMERS… | Final | $45K |
| 2011-05-10 | regulatory | THE AWC ALLEGES THAT AT VARIOUS TIMES DURING THE PERIOD MAY 8, 2008 THROUGH MAY 24, 2008 GMS FAILED TO DELIVER OFFICIAL STATEMENTS BY SETTLEMENT DATE TO CERTAIN CUSTOMERS WHO HAD PURCHASED NEW ISSUE MUNICIPAL SECURITIES DURING THE PRIMARY OFFERING DISCLOSURE PERIOD IN ACCORDANCE WITH MSRB RULE G-17… | Final | $50K |
| 2008-12-11 | regulatory | ALLEGED VIOLATIONS OF NASD MARKETPLACE RULES 6230(A) AND (C)(8) AND CONDUCT RULE 2110 IN THAT THE FIRM FAILED TO REPORT TO TRACE, 364 OF ITS TRANSACTIONS IN TRACE ELICIBLE SECURITIES WITHIN 15 MINUTES OF EXECUTION AND FAILED TO REPORT THE TIME OF EXECUTION FOR EACH SUCH TRANSACTION. THIS REPRESENTED… | Final | $5K |
| 2007-12-31 | regulatory | NASD RULES 2110, 3010, MSRB RULES G-17, G-27, G-30(A) THE GMS GROUP, LLC PURCHASED/SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM/TO A TOTAL OF (4) FOUR CUSTOMERS AT AN AGGREGATE PRICE (INCLUDING ANY MARKDOWN OR MARKUP) THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATION ALL RELEVANT FAC… | Final | $10K |
| 2004-05-13 | regulatory | VIOLATION OF NASD MEMBERSHIP AND REGISTRATION RULE 1031(A) AND NASD CONDUCT RULES 2110 AND 3010B | Final | $10K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| MIAMI | FL | 1 | 786-220-5911 |
| MIAMI | FL | 1 | 786-220-5911 |