Univec Inc (UNVC)

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BrokerCheck Report
ROBERT M. COHEN & CO., INC.
Report #25117-25981, data current as of Saturday, July 05, 2014

www.finra.org/brokercheck
User Guidance
Initiated By:
NATIONAL ASSOCIATION OF SECURITIES DEALERS.INC.
Principal Sanction(s)/Relief
Sought:
Other Sanction(s)/Relief
Sought:
Date Initiated:
01/10/2000
Docket/Case Number:
C3A990069
Principal Product Type:
Other
Other Product Type(s):
Allegations:
01/24/00GS: RESPONDENT MEMBER, ACTING THROUGH RESPONDENT
COHEN, VIOLATED SEC RULE 15C2-4 IN THAT INVESTOR FUNDS RECEIVED
IN CONNECTION WITH AN OFFERING OF SECURITIES MADE SUBJECT TO A
CONTINGENCY WERE FORWARDED TO A BANK ACCOUNT THAT DID NOT
MEET THE REQUIREMENTS OF THE RULE.
Resolution Date:
01/10/2000
Resolution:
Other Sanctions Ordered:
Sanction Details:
FINED $1,000, JOINTLY AND SEVERALLY.
Regulator Statement
05-26-00, $1,000 PAID J&S ON 1/27/00, INVOICE #00-3A-32

*****

Reporting Source:
Firm
Allegations:
ON JANUARY 10,2000, ROBERT M. COHEN & CO.,INC.(THE "FIRM") AND
ROBERT M. COHEN ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER
AND CONSENT WITH NASD REGULATION, INC.("NASDR"), IN WHICH THE
FIRM AND MR. COHEN ACCEPTED AND CONSENTED, WITHOUT ADMITTING
OR DENYING, TO THE ENTRY OF FINDINGS THAT THE FIRM, ACTING
THROUGH MR. COHEN, VIOLATED RULE 15C-4 UNDER THE SECURITIES
AND EXCHANGE ACT OF 1934, BY PLACING INVESTOR FUNDS FOR A
PRIVATE PLACEMENT, FOR WHICH THE FIRM WAS THE PLACEMENT
AGENT, IN A BANK ACCOUNT FOR WHICH AN ATTORNEY ACTED AS
TRUSTEE AND THAT SUCH ACCOUNT WAS NOT A PERMISSIBLE ACCOUNT
UNDER SUCH RULE. SINCE ALL INVESTOR FUNDS REACHED THEIR
INTENDED DESTINATION, NASDR STAFF RECOMMENDED A CENSURE AND
THE MINIMUM MONETARY SANCTION OF $1000.00 WHICH THE FIRM AND
MR. COHEN DECIDED TO ACCEPT.
Current Status:
Final
15
©2014 FINRA. All rights reserved. Report#

*****

Allegations:
ON OR ABOUT OCTOBER 18, 1995, ROBERT M. COHEN & CO., INC. (THE
"FIRM")AND JAMES J. MCKEEVER AND BRIAN HAYES, EMPLOYEES OF THE
FIRM (COLLECTIVELY, THE "RESPONDENTS"), ENTERED INTO A CONSENT
ORDER WITH THE VERMONT COMMISSIONER OF BANKING, INSURANCE
AND SECURITIES IN WHICH RESPONDENTS, WITHOUT ADMITTING OR
DENYING THE TRUTH OF THE ALLEGATIONS, CONSENTED TO THE ENTRY
OF FINDINGS THAT (I) THE FIRM AND MESSRS. HAYES AND MCKEEVER
VIOLATED SEC. 4213(A) OF THE VERMONT SECURITIES ACT (THE "VSA")
BY TRANSACTING BUSINESS IN VERMONT WITHOUT BEING REGISTERED
AS A BROKER-DEALER OR SALES REPRESENTATIVES, RESPECTIVELY, (II)
THE FIRM EMPLOYED PERSONS AS UNREGISTERED SALES
REPRESENTATIVES IN VIOLATION OF SEC. 4213(B) OF THE VSA, (III) MR.
HAYES EFFECTED TRANSACTIONS IN A MARGIN ACCOUNT IN VIOLATION
OF SEC. 4221A(A)(8) OF THE VSA AND THE RULES AND REGULATIONS
THEREUNDER, AND (IV) THE FIRM FAILED TO REASONABLY SUPERVISE
ITS EMPLOYEES IN CONNECTION WITH THE FOREGOING. THE FIRM
AGREED TO MAKE AN OFFER OF RESTITUTION AND TENDER
ADMINISTRATIVE PENALTIES AND COSTS OF $12,000. ME

*****

Reporting Source:
Regulator
Type of Event:
ARBITRATION
Arbitration Forum:
Case Initiated:
Case Number:
Allegations:
Disputed Product Type:
Sum of All Relief Requested:
Disposition:
Disposition Date:
Sum of All Relief Awarded:
NASD
09/28/1993
93-03475
ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT
ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNSUITABILITY;
FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING
COMMON STOCK; WARRANTS/RIGHTS
$75,000.00
AWARD AGAINST PARTY
08/27/1996
$32,900.00

******

Reporting Source:
Regulator
Type of Event:
ARBITRATION
Arbitration Forum:
Case Initiated:
Case Number:
Allegations:
Disputed Product Type:
Sum of All Relief Requested:
NASD
09/30/1994
94-03690
FRAUDULENT ACTIVITY-MISREPRESENTATION
COMMON STOCK; UNKNOWN TYPE OF SECURITIES
$75,150.00
19
©2014 FINRA. All rights reserved. Report# 25117-25981 about ROBERT M. COHEN & CO., INC. Data current as of Saturday, July 05, 2014.