ABNER HERRMAN & BROCK, LLC of JERSEY CITY, NJ is an SEC-registered investment adviser (CRD 8517). Regulatory assets under management: $2.7B.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Howard Jerome Abner | CHIEF COMPLIANCE OFFICER; SHAREHOLDER; TRUSTEE, ABNER TRUST | — |
| Caryn Jill Zweig | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| ABNER HOWARD JEROME | CHAIRMAN; CHAIRMAN/CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER (+2 more) | — |
| ZWEIG CARYN JILL | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER; COMPLIANCE OFFICER (+3 more) | — |
| STRAUSS KEVIN ERIC | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2007-06-19 | regulatory | RULES 6220 AND 6230 AND NASD CONDUCT RULE 2110. FROM JANUARY 1, 2006 THROUGH NOVEMBER 6, 2006, AHB EFFECTED 560 TRACE-ELIGIBLE SECURITIES TRANSACTIONS. AHB, HOWEVER, DID NOT HAVE A TRACE PARTICIPANT APPLICATION IN PLACE, NOR DID IT REPORT ANY OF THE TRACE-ELIGIBLE SECURITIES TRANSACTIONS REFERENCED… | Final | $10K |
| 1987-12-23 | regulatory | ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE-RESPONDENT MEMBER, ACTING THROUGH RESPONDENT HERRMAN, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF A PUBLIC OFFERING WHICH TRADED AT A PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO RESTRICTED ACCOUNTS.) $5,000 PAID IN FULL J& S… | Final | $5K |
| 1985-09-20 | regulatory | 12/5/1985;MARKET SURVEILLANCE COMMITTEE COMPLAINT#MS-178 SC-SUMMARY COMPLAINT FILED ON 9/20/1985.ALLEGING VIOLATIONS OF PART I,SECTIONC.3.(A) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT ENTERED QUOTATIONS INTO THE NASDAQ SYSTEM ON 6/7,10 AND 11/1985,THAT WERE NOT REASONABLY RELATED… | Final | $500 |