Defendant Name:
D. Scott Cacchione
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of David Scott Cacchione
First Document Date
22-Apr-2009
Initial Filing Format
Administrative Action
File Number
3-13455
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at Merriman Curhan Ford & Co. (December 2005—June 4, 2008)
- Former: Managing Director of Merriman's Client Services Group at Merriman Curhan Ford & Co. (December 2005—June 4, 2008)
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
First Resolution Date
