WINTRUST INVESTMENTS LLC - FINRA · WINTRUST INVESTMENTS LLC SEC# 875 8-484 Main Office Location...
Transcript of WINTRUST INVESTMENTS LLC - FINRA · WINTRUST INVESTMENTS LLC SEC# 875 8-484 Main Office Location...
BrokerCheck Report
WINTRUST INVESTMENTS LLC
Section Title
Report Summary
Firm History
CRD# 875
1
11
Firm Profile 2 - 10
Page(s)
Firm Operations 12 - 19
Disclosure Events 20
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WINTRUST INVESTMENTS LLC
CRD# 875
SEC# 8-484
Main Office Location
231 SOUTH LASALLE STREET13TH FLOORCHICAGO, IL 60604Regulated by FINRA Chicago Office
Mailing Address
P.O. BOX 750CHICAGO, IL 60690-0750
This firm is a brokerage firm and an investmentadviser firm. For more information aboutinvestment adviser firms, visit the SEC'sInvestment Adviser Public Disclosure website at:
Business Telephone Number
312-431-6569
https://www.adviserinfo.sec.gov
Report Summary for this Firm
This report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed report.
Disclosure Events
Brokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been involved.
Are there events disclosed about this firm? Yes
The following types of disclosures have beenreported:
Type Count
Regulatory Event 5
Firm Profile
This firm is classified as a limited liability company.
This firm was formed in Delaware on 01/31/1996.
Its fiscal year ends in December.
Firm History
Information relating to the brokerage firm's historysuch as other business names and successions(e.g., mergers, acquisitions) can be found in thedetailed report.
Firm Operations
Is this brokerage firm currently suspended with anyregulator? No
This firm conducts 14 types of businesses.
This firm is affiliated with financial or investmentinstitutions.
This firm has referral or financial arrangements withother brokers or dealers.
This firm is registered with:
• the SEC• 2 Self-Regulatory Organizations• 52 U.S. states and territories
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This firm is classified as a limited liability company.
This firm was formed in Delaware on 01/31/1996.
CRD#
This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name isused.
Firm Profile
Firm Names and Locations
Its fiscal year ends in December.
WINTRUST INVESTMENTS LLC
SEC#
875
8-484
Main Office Location
Mailing Address
Business Telephone Number
Doing business as WINTRUST INVESTMENTS LLC
312-431-6569
Regulated by FINRA Chicago Office
231 SOUTH LASALLE STREET13TH FLOORCHICAGO, IL 60604
P.O. BOX 750CHICAGO, IL 60690-0750
Other Names of this Firm
Name Where is it used
FCB ADVISORS AK, AR, AZ, CA, CO,DC, FL, GA, HI, IL,KS, KY, LA, MD, MI,MN, MO, MT, NC,NE, NJ, NV, OH, OK,PA, RI, SC, SD, TN,TX, VA, WA, WI
GRUNDY INVESTMENTS CA, GA, IL, IN, MO,NC, PA, RI, TX, VA
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INVESTMENT SERVICES - A DIVISION OF MORTON COMMUNITYBANK
AL, AZ, CA, CO, FL,ID, IL, IN, MI, MN,MS, NC, NE, NV, OH,OK, PA, TN, TX, WA,WY
WAYNE HUMMER INSURANCE AGENCY, LLC CA
WAYNE HUMMER INVESTMENTS AK, AL, AR, AZ, CA,CO, CT, DC, DE, FL,GA, HI, IA, ID, IL, IN,KS, KY, LA, MA, MD,ME, MI, MN, MO,MS, MT, NC, ND, NE,NH, NJ, NM, NV, NY,OH, OK, OR, PA, RI,SC, SD, TN, TX, UT,VA, VI, VT, WA, WI,WV, WY
WINTRUST WEALTH MANAGEMENT AK, AL, AR, AZ, CA,CO, CT, DC, DE, FL,GA, HI, IA, ID, IL, IN,KS, KY, LA, MA, MD,ME, MI, MN, MO,MS, MT, NC, ND, NE,NH, NJ, NM, NV, NY,OH, OK, OR, PA, RI,SC, SD, TN, TX, UT,VA, VI, VT, WA, WI,WV, WY
WINTRUST WEALTH SERVICES AK, AL, AR, AZ, CA,CO, CT, DC, DE, FL,GA, HI, IA, ID, IL, IN,KS, KY, LA, MA, MD,ME, MI, MN, MO,MS, MT, NC, ND, NE,NH, NJ, NM, NV, NY,OH, OK, OR, PA, RI,SC, SD, TN, TX, UT,VA, VI, VT, WA, WI,WV, WY
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This section provides information relating to all direct owners and executive officers of the brokerage firm.
Direct Owners and Executive Officers
Firm Profile
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
WINTRUST BANK
SOLE DIRECT OWNER
75% or more
No
Domestic Entity
10/2002
Yes
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
CARLISLE, PAUL CLAYTON
DIRECTOR
Less than 5%
No
Individual
01/2014
Yes
6314743
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Position Start Date
CORBETT, JAMES EDWARD
CHIEF OPERATIONS OFFICER
Less than 5%
Individual
06/2018
2371982
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
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Direct Owners and Executive Officers (continued)
Firm Profile
Percentage of Ownership
Is this a public reportingcompany?
Does this owner direct themanagement or policies ofthe firm?
Less than 5%
No
Yes
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
GETZ, BERT ATWATER JR
DIRECTOR
Less than 5%
No
Individual
01/2005
Yes
4588181
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
GLABE, MARLA FRIEDMAN
DIRECTOR
Less than 5%
No
Individual
09/2009
Yes
2339176
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
HEITMANN, SCOTT KEITH
2351200
Legal Name & CRD# (if any):
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Direct Owners and Executive Officers (continued)
Firm Profile
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
DIRECTOR
Less than 5%
No
Individual
07/2008
Yes
2351200
Is this a domestic or foreignentity or an individual?
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
HUGHES, TERRANCE GREGORY
DIRECTOR OF SALES
Less than 5%
No
Individual
01/2013
Yes
2823480
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
KAMRADT, MICHAEL PAUL
DIRECTOR
Less than 5%
Individual
01/2019
Yes
1562014
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
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Direct Owners and Executive Officers (continued)
Firm Profile
Is this a public reportingcompany?
Does this owner direct themanagement or policies ofthe firm?
No
Yes
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
KIERNAN, THOMAS JOSEPH
MUNICIPAL PRINCIPAL
Less than 5%
No
Individual
03/1998
No
714859
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
MCKINNEY, SUZET MEYLIEU
DIRECTOR
Less than 5%
No
Individual
01/2019
Yes
7069598
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
ROLDAN, CELENA
Individual
7069597
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
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Direct Owners and Executive Officers (continued)
Firm Profile
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
DIRECTOR
Less than 5%
No
Individual
01/2019
Yes
Is this a domestic or foreignentity or an individual?
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
SILVER, ELLIOTT JOSEPH
CHIEF COMPLIANCE OFFICER
Less than 5%
No
Individual
03/2005
Yes
1594446
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
SMYTH, MICHAEL J
CHIEF FINANCIAL OFFICER
Less than 5%
Individual
03/2019
Yes
2802717
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
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Direct Owners and Executive Officers (continued)
Firm Profile
Is this a public reportingcompany?
Does this owner direct themanagement or policies ofthe firm?
No
Yes
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
SOMMERFIELD, JAMES ALFRED JR
SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL
Less than 5%
No
Individual
03/2005
No
2841304
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
ZIDAR, THOMAS PATRICK
CHAIRMAN & CEO
Less than 5%
No
Individual
09/2006
Yes
2128329
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
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This section provides information relating to any indirect owners of the brokerage firm.
Indirect Owners
Firm Profile
WINTRUST FINANCIAL CORPORATION
SOLE OWNER
WINTRUST BANK
75% or more
Yes
Domestic Entity
09/1994
Yes
Legal Name & CRD# (if any):
Is this a domestic or foreignentity or an individual?
Company through whichindirect ownership isestablished
Relationship to Direct Owner
Relationship Established
Percentage of Ownership
Does this owner direct themanagement or policies ofthe firm?
Is this a public reportingcompany?
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Firm History
This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.
No information reported.
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Firm Operations
RegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC registration.
This firm is currently registered with the SEC, 2 SROs and 52 U.S. states and territories.
SEC Registration Questions
This firm is registered with the SEC as:
A broker-dealer:
A broker-dealer and government securities broker or dealer:
A government securities broker or dealer only:
This firm has ceased activity as a government securities broker or dealer:
Yes
Yes
No
No
Federal Regulator Status Date Effective
SEC Approved 05/02/1954
Self-Regulatory Organization Status Date Effective
FINRA Approved 10/16/1936
NYSE Chicago, Inc. Approved 12/11/1933
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Firm Operations
Registrations (continued)
U.S. States &Territories
Status Date Effective
Alabama Approved 11/12/1996
Alaska Approved 06/08/1982
Arizona Approved 03/31/1982
Arkansas Approved 04/01/1996
California Approved 04/04/1996
Colorado Approved 02/01/1983
Connecticut Approved 05/28/1982
Delaware Approved 04/15/1982
District of Columbia Approved 06/21/1986
Florida Approved 04/27/1983
Georgia Approved 04/08/1982
Hawaii Approved 04/01/1996
Idaho Approved 05/04/1982
Illinois Approved 07/01/1952
Indiana Approved 04/16/1982
Iowa Approved 07/14/1983
Kansas Approved 04/01/1982
Kentucky Approved 07/16/1982
Louisiana Approved 04/20/1983
Maine Approved 02/09/1984
Maryland Approved 05/25/1982
Massachusetts Approved 04/13/1982
Michigan Approved 02/28/1996
Minnesota Approved 07/15/1982
Mississippi Approved 05/25/1982
Missouri Approved 07/15/1983
Montana Approved 04/20/1983
Nebraska Approved 04/01/1996
Nevada Approved 07/14/1983
New Hampshire Approved 09/30/1983
New Jersey Approved 05/25/1982
New Mexico Approved 06/16/1982
New York Approved 04/01/1996
U.S. States &Territories
Status Date Effective
North Carolina Approved 07/15/1982
North Dakota Approved 04/27/1982
Ohio Approved 07/16/1982
Oklahoma Approved 07/27/1982
Oregon Approved 05/24/1982
Pennsylvania Approved 04/12/1982
Rhode Island Approved 02/01/1983
South Carolina Approved 04/08/1982
South Dakota Approved 07/15/1982
Tennessee Approved 04/19/1982
Texas Approved 05/20/1996
Utah Approved 04/21/1983
Vermont Approved 02/13/1984
Virgin Islands Approved 01/28/2008
Virginia Approved 03/25/1982
Washington Approved 04/20/1983
West Virginia Approved 05/24/1982
Wisconsin Approved 05/01/1969
Wyoming Approved 04/30/1982
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Firm Operations
Types of BusinessThis section provides the types of business, including non-securities business, the brokerage firm is engaged in orexpects to be engaged in.
Other Types of Business
This firm does not effect transactions in commodities, commodity futures, or commodity options.This firm does engage in other non-securities business.
Non-Securities Business Description: LIFE INSURANCEFIXED ANNUITIES
This firm currently conducts 14 types of businesses.
Types of Business
Exchange member engaged in exchange commission business other than floor activities
Broker or dealer retailing corporate equity securities over-the-counter
Broker or dealer selling corporate debt securities
Underwriter or selling group participant (corporate securities other than mutual funds)
Mutual fund retailer
U S. government securities dealer
U S. government securities broker
Municipal securities dealer
Municipal securities broker
Broker or dealer selling variable life insurance or annuities
Put and call broker or dealer or option writer
Investment advisory services
Broker or dealer involved in a networking, kiosk or similar arrangment with a: bank, savings bank or association, orcredit union
Other - SERVICE FEESMARGIN DEBITS/LOANSINSURED BANK DEPOSITS PROGRAMBROKERED CDSVARIABLE ANNUITIESINDEXED ANNUITIES
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Firm Operations
Clearing Arrangements
This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s).
Introducing Arrangements
This firm does refer or introduce customers to other brokers and dealers.
Name: WELLS FARGO CLEARING SERVICES, LLC
Business Address: 1 NORTH JEFFERSON STREETST. LOUIS, MO 63103
CRD #: 19616
Effective Date: 07/21/2004
Description: WAYNE HUMMER HAS ENTERED INTO AN AGREEMENT WITH WELLSFARGO CLEARING SERVICES, LLC (FORMERLY FIRST CLEARING, LLC)TO PROVIDE CLEARING SERVICES. WAYNE HUMMER DOES NOTMAINTAIN CUSTODY OF CUSTOMER FUNDS OR SECURITIES. ALLACCOUNTS ARE CARRIED AT WELLS FARGO CLEARING SERVICES, LLC.ON NOVEMBER 14TH, 2016, FIRST CLEARING, LLC CHANGED ITS NAMETO WELLS FARGO CLEARING SERVICES.
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Firm Operations
Industry Arrangements
This firm does have books or records maintained by a third party.
This firm does have accounts, funds, or securities maintained by a third party.
This firm does have customer accounts, funds, or securities maintained by a third party.
Name: WELLS FARGO CLEARING SERVICES, LLC
Business Address: 1 NORTH JEFFERSON STREETST. LOUIS, MO 63103
CRD #: 19616
Effective Date: 07/21/2004
Description: WAYNE HUMMER HAS ENTERED INTO AN AGREEMENT WITH WELLSFARGO CLEARING SERVICES, LLC (FORMERLY FIRST CLEARING, LLC)TO PROVIDE CLEARING SERVICES. WAYNE HUMMER DOES NOTMAINTAIN CUSTODY OF CUSTOMER FUNDS OR SECURITIES. ALLACCOUNTS ARE CARRIED AT WELLS FARGO CLEARING SERVICES, LLC.ON NOVEMBER 14TH, 2016, FIRST CLEARING, LLC CHANGED ITS NAMETO WELLS FARGO CLEARING SERVICES.
Name: WELLS FARGO CLEARING SERVICES, LLC
Business Address: 1 NORTH JEFFERSON STREETST. LOUIS, MO 63103
CRD #: 19616
Effective Date: 07/21/2004
Description: WAYNE HUMMER HAS ENTERED INTO AN AGREEMENT WITH WELLSFARGO CLEARING SERVICES, LLC (FORMERLY FIRST CLEARING, LLC)TO PROVIDE CLEARING SERVICES. WAYNE HUMMER DOES NOTMAINTAIN CUSTODY OF CUSTOMER FUNDS OR SECURITIES. ALLACCOUNTS ARE CARRIED AT WELLS FARGO CLEARING SERVICES, LLC.ON NOVEMBER 14TH, 2016, FIRST CLEARING, LLC CHANGED ITS NAMETO WELLS FARGO CLEARING SERVICES.
Name: WELLS FARGO CLEARING SERVICES, LLC
Business Address: 1 NORTH JEFFERSON STREETST. LOUIS, MO 63103
CRD #: 19616
Effective Date: 07/21/2004
Description: WAYNE HUMMER HAS ENTERED INTO AN AGREEMENT WITH WELLSFARGO CLEARING SERVICES, LLC (FORMERLY FIRST CLEARING, LLC)TO PROVIDE CLEARING SERVICES. WAYNE HUMMER DOES NOTMAINTAIN CUSTODY OF CUSTOMER FUNDS OR SECURITIES. ALLACCOUNTS ARE CARRIED AT WELLS FARGO CLEARING SERVICES,LLC.ON NOVEMBER 14TH, 2016, FIRST CLEARING, LLC CHANGED ITSNAME TO WELLS FARGO CLEARING SERVICES.
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Firm Operations
Industry Arrangements (continued)
This firm does not have individuals who control its management or policies through agreement.
This firm does not have individuals who wholly or partly finance the firm's business.
Control Persons/Financing
Description: WAYNE HUMMER HAS ENTERED INTO AN AGREEMENT WITH WELLSFARGO CLEARING SERVICES, LLC (FORMERLY FIRST CLEARING, LLC)TO PROVIDE CLEARING SERVICES. WAYNE HUMMER DOES NOTMAINTAIN CUSTODY OF CUSTOMER FUNDS OR SECURITIES. ALLACCOUNTS ARE CARRIED AT WELLS FARGO CLEARING SERVICES,LLC.ON NOVEMBER 14TH, 2016, FIRST CLEARING, LLC CHANGED ITSNAME TO WELLS FARGO CLEARING SERVICES.
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Firm Operations
Organization AffiliatesThis section provides information on control relationships the firm has with other firms in the securities, investmentadvisory, or banking business.
This firm is, directly or indirectly:
· in control of· controlled by· or under common control withthe following partnerships, corporations, or other organizations engaged in the securities or investmentadvisory business.
Yes
No
No
10/01/2002
231 S. LASALLE STREET13TH FLOORCHICAGO, IL 60604
THE CHICAGO TRUST COMPANY is under common control with the firm.
WINTRUST FINANCIAL CORPORATION CONTROLS 100% OF WINTRUSTBANK, WHICH CONTROLS 100% OF WAYNE HUMMER INVESTMENTS.WINTRUST, AN INDIRECT OWNER OF WAYNE HUMMER INVESTMENTS,OWNS 100% OF THE CHICAGO TRUST COMPANY (FORMERLY WAYNEHUMMER TRUST COMPANY).
Description:
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
Yes
Yes
No
02/20/2002
231 S. LASALLE STREET4TH FLOORCHICAGO, IL 60604
110757
GREAT LAKES ADVISORS, LLC is under common control with the firm.
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
CRD #:
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Firm Operations
Organization Affiliates (continued)
Yes
GREAT LAKES ADVISORS, LLC (FORMERLY WINTRUST CAPITALMANAGEMENT & WAYNE HUMMER ASSET MANAGEMENT COMPANY) IS ADELAWARE LLC AND INVESTMENT ADVISOR REGISTERED WITH THESECURITIES AND EXCHANGE COMMISSION, AND IS AN AFFILIATE OFWAYNE HUMMER INVESTMENTS LLC. IT IS WHOLLY OWNED BY WINTRUSTFINANCIAL CORPORATION.
Description:
Investment AdvisoryActivities:
This firm is directly or indirectly, controlled by the following:
· bank holding company· national bank· state member bank of the Federal Reserve System· state non-member bank· savings bank or association· credit union· or foreign bank
Effective Date:
Business Address:
Description: WINTRUST BANK (FORMERLY NORTH SHORE COMMUNITY BANK ANDTRUST) IS THE SOLE DIRECT OWNER OF WAYNE HUMMER INVESTMENTSLLC.
WINTRUST BANK is a State Member Bank of the Federal Reserve System and controls the firm.
10/01/2002
1145 WILMETTE AVENUEWILMETTE, IL 60091
Effective Date:
Business Address:
Description: WINTRUST FINANCIAL CORPORATION IS SOLE OWNER OF WINTRUSTBANK AND THEREFORE AN INDIRECT OWNER OF WAYNE HUMMERINVESTMENTS LLC.
WINTRUST FINANCIAL CORPORATION is a Bank Holding Company and controls the firm.
02/20/2002
9700 WEST HIGGINS ROADROSEMONT, IL 60018
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Disclosure Events
All firms registered to sell securities or provide investment advice are required to disclose regulatory actions, criminal orcivil judicial proceedings, and certain financial matters in which the firm or one of its control affiliates has been involved.For your convenience, below is a matrix of the number and status of disclosure events involving this brokerage firm orone of its control affiliates. Further information regarding these events can be found in the subsequent pages of thisreport.
Final On AppealPending
Regulatory Event 0 5 0
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Disclosure Event Details
What you should know about reported disclosure events:
1. BrokerCheck provides details for any disclosure event that was reported in CRD. It also includessummary information regarding FINRA arbitration awards in cases where the brokerage firm wasnamed as a respondent.
2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a brokerage firm is required to disclose a
particular criminal event.3. Disclosure events in BrokerCheck reports come from different sources:
o Disclosure events for this brokerage firm were reported by the firm and/or regulators. When the firmand a regulator report information for the same event, both versions of the event will appear in theBrokerCheck report. The different versions will be separated by a solid line with the reporting sourcelabeled.
4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final.
§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently
being appealed.§ A "final" event has been concluded and its resolution is not subject to change.
o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter,
or (2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.
§ A "settled" matter generally involves an agreement by the parties to resolve the matter.Please note that firms may choose to settle customer disputes or regulatory matters forbusiness or other reasons.
§ A "resolved" matter usually involves no payment to the customer and no finding ofwrongdoing on the part of the individual broker. Such matters generally involve customerdisputes.
5. You may wish to contact the brokerage firm to obtain further information regarding any of thedisclosure events contained in this BrokerCheck report.
Regulatory - Final
This type of disclosure event involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulator such as the U.S. Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of the authority of a brokerage firm or its control affiliate to act as an attorney, accountant or federalcontractor.
Disclosure 1 of 5
Reporting Source: Regulator
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, INTRANSACTIONS INVOLVING MUNICIPAL SECURITIES, IT FAILED TOEXERCISE REASONABLE DILIGENCE IN ASCERTAINING THE BEST MARKETAND SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO THECUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILINGMARKET CONDITIONS. THE FINDINGS STATED THAT IN THESE INSTANCES,THE FIRM, ACTING IN A PRINCIPAL CAPACITY, RELIED EXCLUSIVELY ON AVENDOR'S PROPRIETARY YIELD CURVE TO DETERMINE THETRANSACTION PRICE. IN SO DOING, THE FIRM FAILED TO CONSIDER ALLOF THE MSRB RULE G-18(A) FACTORS AND IGNOREDCONTEMPORANEOUS INTER-DEALER TRANSACTIONS IN THATPARTICULAR SECURITY. THE FINDINGS ALSO STATED THAT THE FIRMCHARGED UNFAIR AND UNREASONABLE MARK-UPS FOR THESETRANSACTIONS. IN MOST OF THE INSTANCES, THE FIRM CHARGED AMARK-UP IN EXCESS OF FIVE PERCENT. THE FIRM PROVIDED EVIDENCETHAT IT HAS MADE FULL RESTITUTION IN THE AMOUNT OF $18,925 TO ITSCUSTOMERS. THE FINDINGS ALSO INCLUDED THAT THE FIRM DID NOTHAVE A REASONABLE SUPERVISORY SYSTEM, INCLUDING WSPS, TOACHIEVE COMPLIANCE WITH ITS BEST EXECUTION OBLIGATIONS.
Current Status: Final
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Initiated By: FINRA
Principal Sanction(s)/ReliefSought:
Other Sanction(s)/ReliefSought:
Date Initiated: 01/03/2020
Docket/Case Number: 2017053470801
Principal Product Type: Debt - Municipal
Other Product Type(s):
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, INTRANSACTIONS INVOLVING MUNICIPAL SECURITIES, IT FAILED TOEXERCISE REASONABLE DILIGENCE IN ASCERTAINING THE BEST MARKETAND SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO THECUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILINGMARKET CONDITIONS. THE FINDINGS STATED THAT IN THESE INSTANCES,THE FIRM, ACTING IN A PRINCIPAL CAPACITY, RELIED EXCLUSIVELY ON AVENDOR'S PROPRIETARY YIELD CURVE TO DETERMINE THETRANSACTION PRICE. IN SO DOING, THE FIRM FAILED TO CONSIDER ALLOF THE MSRB RULE G-18(A) FACTORS AND IGNOREDCONTEMPORANEOUS INTER-DEALER TRANSACTIONS IN THATPARTICULAR SECURITY. THE FINDINGS ALSO STATED THAT THE FIRMCHARGED UNFAIR AND UNREASONABLE MARK-UPS FOR THESETRANSACTIONS. IN MOST OF THE INSTANCES, THE FIRM CHARGED AMARK-UP IN EXCESS OF FIVE PERCENT. THE FIRM PROVIDED EVIDENCETHAT IT HAS MADE FULL RESTITUTION IN THE AMOUNT OF $18,925 TO ITSCUSTOMERS. THE FINDINGS ALSO INCLUDED THAT THE FIRM DID NOTHAVE A REASONABLE SUPERVISORY SYSTEM, INCLUDING WSPS, TOACHIEVE COMPLIANCE WITH ITS BEST EXECUTION OBLIGATIONS.
Resolution Date: 01/03/2020
Resolution:
Other Sanctions Ordered: UNDERTAKING
Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?
No
Sanctions Ordered: CensureMonetary/Fine $35,000.00
Acceptance, Waiver & Consent(AWC)
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Other Sanctions Ordered: UNDERTAKING
Sanction Details: THE FIRM WAS CENSURED, FINED $35,000 AND REQUIRED TO REVISE ITSWSPS. FINE PAID IN FULL ON 1/23/2020.
iReporting Source: Firm
Initiated By: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
Principal Sanction(s)/ReliefSought:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanction(s)/ReliefSought:
CENSURE
Date Initiated: 01/03/2020
Docket/Case Number: 2017053470801
Principal Product Type: Debt - Municipal
Other Product Type(s):
Allegations: ALLEGATIONS THAT THE FIRM FAILED TO EXERCISE REASONABLE DUEDILIGENCE TO ASCERTAIN BEST EXECUTION UNDER PREVAILING MARKETCONDITIONS AND FAILED TO HAVE A REASONABLE SUPERVISORY SYSTEMTO ACHIEVE COMPLIANCE WITH BEST EXECUTION OBLIGATIONS.
Current Status: Final
Resolution Date: 01/03/2020
Resolution:
Other Sanctions Ordered: UPDATE FIRM POLICIES AND PROCEDURES
Sanction Details: FIRM ENTERED INTO AWC AND PAID FINE AMOUNT. RESTITUTION WASPAID TO CLIENTS PRIOR TO AWC.
Firm Statement WITHOUT ADMITTING OR DENYING GUILT, FIRM ENTERED INTO AWC WITHFINRA. RESTITUTION WAS PROVIDED TO CLIENTS AFFECTED. CASE ISFINAL
Sanctions Ordered: CensureMonetary/Fine $35,000.00
Acceptance, Waiver & Consent(AWC)
Disclosure 2 of 5
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Reporting Source: Regulator
Allegations: MSRB RULES G-17, G-30(A) - WAYNE HUMMER INVESTMENTS L.L.C., INPAIRS OF TRANSACTIONS, SOLD MUNICIPAL SECURITIES FOR ITS OWNACCOUNT TO A CUSTOMER AT AN AGGREGATE PRICE (INCLUDING ANYMARKUP)THAT WAS NOT FAIR AND REASONABLE, TAKING INTOCONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BESTJUDGMENT OF THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALERAS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THETRANSACTION AND OF ANY SECURITIES EXCHANGED OR TRADED INCONNECTION WITH THE TRANSACTION, THE EXPENSE INVOLVED INEFFECTING THE TRANSACTION, THE FACT THAT THE BROKER, DEALER ORMUNICIPAL SECURITIES DEALER IS ENTITLED TO A PROFIT, AND THETOTAL DOLLAR AMOUNT OF THE TRANSACTION.
Current Status: Final
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Initiated By: FINRA
Principal Sanction(s)/ReliefSought:
Other Sanction(s)/ReliefSought:
Date Initiated: 06/07/2011
Docket/Case Number: 2009018305401
Principal Product Type: Debt - Municipal
Other Product Type(s):
Allegations: MSRB RULES G-17, G-30(A) - WAYNE HUMMER INVESTMENTS L.L.C., INPAIRS OF TRANSACTIONS, SOLD MUNICIPAL SECURITIES FOR ITS OWNACCOUNT TO A CUSTOMER AT AN AGGREGATE PRICE (INCLUDING ANYMARKUP)THAT WAS NOT FAIR AND REASONABLE, TAKING INTOCONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BESTJUDGMENT OF THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALERAS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THETRANSACTION AND OF ANY SECURITIES EXCHANGED OR TRADED INCONNECTION WITH THE TRANSACTION, THE EXPENSE INVOLVED INEFFECTING THE TRANSACTION, THE FACT THAT THE BROKER, DEALER ORMUNICIPAL SECURITIES DEALER IS ENTITLED TO A PROFIT, AND THETOTAL DOLLAR AMOUNT OF THE TRANSACTION.
Resolution Date: 06/07/2011
Resolution:
Other Sanctions Ordered:
Sanction Details: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS;THEREFORE, THE FIRM IS CENSURED, FINED $10,000 FOR VIOLATION OFMSRB RULES AND ORDERED TO PAY $2,014.89, PLUS INTEREST, INRESTITUTION TO CUSTOMERS. A REGISTERED PRINCIPAL OF THE FIRMSHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION,OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TOEFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTERACCEPTANCE OF THIS AWC. ANY UNDISTRIBUTED RESTITUTION ANDINTEREST SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT,UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THESTATE IN WHICH THE CUSTOMER LAST RESIDED.
Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?
No
Sanctions Ordered: CensureMonetary/Fine $10,000.00Disgorgement/Restitution
Acceptance, Waiver & Consent(AWC)
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www.finra.org/brokercheck User GuidanceWITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS;THEREFORE, THE FIRM IS CENSURED, FINED $10,000 FOR VIOLATION OFMSRB RULES AND ORDERED TO PAY $2,014.89, PLUS INTEREST, INRESTITUTION TO CUSTOMERS. A REGISTERED PRINCIPAL OF THE FIRMSHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION,OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TOEFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTERACCEPTANCE OF THIS AWC. ANY UNDISTRIBUTED RESTITUTION ANDINTEREST SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT,UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THESTATE IN WHICH THE CUSTOMER LAST RESIDED.
iReporting Source: Firm
Initiated By: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
Principal Sanction(s)/ReliefSought:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanction(s)/ReliefSought:
CENSURE AND RESTITUTION
Date Initiated: 04/26/2011
Docket/Case Number: 2009018305401
Principal Product Type: Debt - Municipal
Other Product Type(s):
Allegations: ALLEGATIONS STATE THAT FOR 5 TRANSACTIONS DURING Q4 2008,HUMMER SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TOCUSTOMERS AT AN AGGREGATE PRICE THAT WAS NOT FAIR ANDREASONABLE; VIOLATIONS OF MSRB RULE G-17 AND G-30(A).
Current Status: Final
Resolution Date: 06/07/2011
Resolution:
Other Sanctions Ordered:
Sanction Details: FIRM ENTERED INTO AWC, PROVIDED RESTITUTION TO AFFECTEDCLIENTS, AND PAID FINE AMOUNT.
Firm Statement WITHOUT ADMITTING OR DENYING GUILT, FIRM ENTERED INTO AWC WITHFINRA. RESTITUTION WAS PROVIDED TO CLIENTS AFFECTED. CASE ISFINAL.
Sanctions Ordered: CensureMonetary/Fine $10,000.00Disgorgement/Restitution
Acceptance, Waiver & Consent(AWC)
Disclosure 3 of 5
i
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Disclosure 3 of 5
Reporting Source: Regulator
Initiated By: NASD
Principal Sanction(s)/ReliefSought:
Other Sanction(s)/ReliefSought:
Date Initiated: 03/26/2004
Docket/Case Number: CMS040042
Principal Product Type: No Product
Other Product Type(s):
Allegations: NASD CONDUCT RULE 2110, 3010 AND 3360 - RESPONDENT MEMBERFAILED TO REPORT ITS SHORT INTEREST POSITIONS TO NASD FORNASDAQ NATIONAL MARKET SECURITIES FROM APRIL 2000 THROUGHOCTOBER 2002; FAILED TO REPORT SHORT INTEREST FOR 15 DIFFERENTSECURITIES TOTALING 25,740 SHARES DURING THE REVIEW PERIOD.RESPONDENT MEMBER'S SUPERVISORY SYSTEM DID NOT PROVIDE FORSUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITHRESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONSCONCERNING THE TIMELY REPORTING OF SHORT INTEREST POSITIONS.
Current Status: Final
Resolution Date: 03/26/2004
Resolution:
Other Sanctions Ordered:
Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, WAYNE HUMMERINVESTMENTS, LLC CONSENTED TO THE FINDING OF THE ALLEGATIONSAND TO THE FOLLOWING SANCTIONS: CENSURE AND $15,000.00 FINE($10,000 FOR THE SHORT INTEREST REPORTING VIOLATIONS AND $5,000FOR THE SUPERVISION VIOLATION)
Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?
No
Sanctions Ordered: CensureMonetary/Fine $15,000.00
Acceptance, Waiver & Consent(AWC)
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iReporting Source: Firm
Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Principal Sanction(s)/ReliefSought:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanction(s)/ReliefSought:
Date Initiated: 01/29/2004
Docket/Case Number: CMS040042AWC
Principal Product Type: Equity Listed (Common & Preferred Stock)
Other Product Type(s):
Allegations: WAYN FAILED TO REPORT ITS SHORT INTEREST POSITION TO NASD FORNASDAQ NMS SECURITIES FROM APRIL 2000 THROUGH OCTOBER 2002.WAYN FAILED TO REPORT SHORT INTEREST FOR 15 DIFFERENTSECURITIES DURING THE PERIOD.SUPERVISORY SYSTEM WAS DEFICIENT REGARDING SHORT REPORTING.
Current Status: Final
Resolution Date: 03/26/2004
Resolution:
Other Sanctions Ordered:
Sanction Details: $15000 PAYMENT WAS MADE.
Sanctions Ordered: CensureMonetary/Fine $15,000.00
Acceptance, Waiver & Consent(AWC)
Disclosure 4 of 5
i
Reporting Source: Firm
Initiated By: STATE OF MINNESOTA, DEPARTMENT OF COMMERCE, SECURITIESDIVISION
Date Initiated: 06/03/1976
Allegations: BY MAILING "STOCK MARKET LETTERS" TO PERSONS IN STATE, FIRMTRANSACTED OR OFFERED TO TRANSACT BUSINESS IN THE STATE ANDWAS NOT LICENSED AS EITHER A BROKER-DEALER OR INVESTMENTADVISOR.
Current Status: Final
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Principal Sanction(s)/ReliefSought:
Cease and Desist
Other Sanction(s)/ReliefSought:
Date Initiated: 06/03/1976
Docket/Case Number: SEC-78-021-GB
Principal Product Type: Equity Listed (Common & Preferred Stock)
Other Product Type(s):
Resolution Date: 06/21/1976
Resolution:
Other Sanctions Ordered:
Sanction Details: CEASE AND DESIST ORDER FROM MAILING STOCK MARKET LETTERS TOPERSONS IN STATE AND FROM TRANSACTING BUSINESS IN STATE ASEITHER A BROKER-DEALER OR INVESTMENT ADVISOR UNTIL FIRM WASREGISTERED APPROPRIATELY.
Sanctions Ordered: Cease and Desist/Injunction
Order
Disclosure 5 of 5
i
Reporting Source: Regulator
Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Principal Sanction(s)/ReliefSought:
Other Sanction(s)/ReliefSought:
Date Initiated: 07/07/1997
Docket/Case Number: C8A970043
Principal Product Type:
Other Product Type(s):
Allegations:
Current Status: Final
Resolution Date: 07/07/1997
Resolution: Acceptance, Waiver & Consent(AWC)
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Resolution Date: 07/07/1997
Other Sanctions Ordered:
Sanction Details:
Regulator Statement ON JULY 7, 1997, DISTRICT NO. 8 NOTIFIED RESPONDENT WAYNEHUMMER INVESTMENTS, L.L.C. THAT THE LETTER OF ACCEPTANCE,WAIVER AND CONSENT NO. C8A970043 WAS ACCEPTED; THEREFORE, THEFIRM WAS FINED $500 - (MSRB RULES G-8 AND G-37 - RESPONDENTMEMBER FAILED TO REFLECT POLITICAL CONTRIBUTIONS ON ITS LIST OFPOLITICAL CONTRIBUTIONS MADE BY MUNICIPAL FINANCEPROFESSIONALSAND EXECUTIVE OFFICERS OF THE FIRM; AND, FILED WITH THE MSRB ALATE FORM G-37 LISTING A POLITICAL CONTRIBUTION).
**$500.00 PAID ON 8/11/97, INVOICE # 97-8A-622**
Sanctions Ordered: Monetary/Fine $500.00
iReporting Source: Firm
Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS
Principal Sanction(s)/ReliefSought:
Other
Other Sanction(s)/ReliefSought:
LETTER OF ACCEPTANCE WAIVER AND CONSENT
Date Initiated: 04/29/1997
Docket/Case Number: C8A970043
Principal Product Type: No Product
Other Product Type(s):
Allegations: VIOLATION OF MSRB RULES G-8 AND G-37.
Current Status: Final
Resolution Date: 07/07/1997
Resolution:
Other Sanctions Ordered:
Sanction Details: FIRM SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ANDPAID A FINE OF $500.00.
Sanctions Ordered: Monetary/Fine $500.00
Acceptance, Waiver & Consent(AWC)
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