Defendant Name:
D. Scott Cacchione
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of David Scott Cacchione
First Document Date
25-Sep-2014
Initial Filing Format
Administrative Action
File Number
3-16165
Allegation Type
Broker Dealer
Affiliations
- Current: Chief Compliance Officer at Merriman Curhan Ford & Co.
- Current: Manager at Merriman Curhan Ford & Co.
- Former: Broker/Registered Representative at Merriman Curhan Ford & Co.
- Current: Owner of at least 50% interest in Montara Capital Management LLC at Merriman Curhan Ford & Co.
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
25-Feb-2015
