MICHAEL ALCIDE POUTRE II - FINRA · MICHAEL ALCIDE POUTRE II Section Title Report Summary Broker...

BrokerCheck Report

MICHAEL ALCIDE POUTRE II

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 2482252

1

2 - 3

4 - 5

6

Page(s)

http://www.finra.org

About BrokerCheck®

BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

· What is included in a BrokerCheck report?· BrokerCheck reports for individual brokers include information such as employment history, professional

qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of thesame disclosure events mentioned above.

· Please note that the information contained in a BrokerCheck report may include pending actions orallegations that may be contested, unresolved or unproven. In the end, these actions or allegations may beresolved in favor of the broker or brokerage firm, or concluded through a negotiated settlement with no admissionor finding of wrongdoing.

· Where did this information come from?· The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or

CRD® and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and

brokerage firms to submit as part of the registration and licensing process, and o information that regulators report regarding disciplinary actions or allegations against firms or brokers.

· How current is this information?· Generally, active brokerage firms and brokers are required to update their professional and disciplinary

information in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.

· What if I want to check the background of an investment adviser firm or investment adviserrepresentative?

· To check the background of an investment adviser firm or representative, you can search for the firm orindividual in BrokerCheck. If your search is successful, click on the link provided to view the available licensingand registration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttps://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414.

· Are there other resources I can use to check the background of investment professionals?· FINRA recommends that you learn as much as possible about an investment professional before deciding

to work with them. Your state securities regulator can help you research brokers and investment adviserrepresentatives doing business in your state.

·Thank you for using FINRA BrokerCheck.

For more information aboutFINRA, visit www.finra.org.

Using this site/information meansthat you accept the FINRABrokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound at

For additional information aboutthe contents of this report, pleaserefer to the User Guidance orwww.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.

brokercheck.finra.org


https://www.AdviserInfo.sec.gov

http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414


http://brokercheck.finra.org/Support/Terms

MICHAEL A. POUTRE II

CRD# 2482252

This broker is not currently registered.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 4

Customer Dispute 4

Termination 2

Financial 1

Broker Comments

This broker has provided comments regardinginformation that is displayed in this report.

Has the broker provided comments? Yes

Investment Adviser RepresentativeInformation

https://www.adviserinfo.sec.gov

The information below represents the individual'srecord as a broker. For details on this individual'srecord as an investment adviser representative,visit the SEC's Investment Adviser PublicDisclosure website at



This broker has passed:

2 Principal/Supervisory Exams

2 General Industry/Product Exams

2 State Securities Law Exams

Registration History

This broker was previously registered with thefollowing securities firm(s):

BROOKSTONE SECURITIES, INC.CRD# 13366TARZANA, CA04/2009 - 04/2009

MAXXTRADE, INC.CRD# 106471LEXINGTON, KY09/2006 - 03/2009

GUNNALLEN FINANCIAL, INCCRD# 17609BEVERLY HILLS, CA02/2005 - 06/2006

www.finra.org/brokercheck User Guidance

1©2018 FINRA. All rights reserved. Report about MICHAEL A. POUTRE II.


https://adviserinfo.sec.gov/IAPD/IAPDSummaryRouter.aspx?IndividualID=2482252&Source=Report

http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each license, and the date on which it became effective. This section alsoprovides, for every brokerage firm with which the broker is currently employed, the address of each branch where thebroker works.








Industry Exams this Broker has Passed

This individual has passed 2 principal/supervisory exams, 2 general industry/product exams, and 2 statesecurities law exams.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.

Exam Category Date

Principal/Supervisory Exams

Registered Options Principal Examination 03/03/2004Series 4

General Securities Principal Examination 03/28/2002Series 24

Exam Category Date

General Industry/Product Exams

Investment Company Products/Variable Contracts Representative Examination 07/01/1994Series 6

General Securities Representative Examination 01/30/1996Series 7

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 09/23/1994Series 63

Uniform Investment Adviser Law Examination 02/07/1996Series 65

Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

04/2009 - 04/2009 BROOKSTONE SECURITIES, INC. 13366 TARZANA, CA

09/2006 - 03/2009 MAXXTRADE, INC. 106471 LEXINGTON, KY

02/2005 - 06/2006 GUNNALLEN FINANCIAL, INC 17609 BEVERLY HILLS, CA

09/2004 - 03/2005 J.P. TURNER & COMPANY, L.L.C. 43177 ATLANTA, GA

08/2004 - 09/2004 SAXONY SECURITIES, INC. 115547 ST. LOUIS, MO

10/2001 - 09/2004 FIRST MONTAUK SECURITIES CORP. 13755 RED BANK, NJ

07/2001 - 11/2001 WELLS FARGO INVESTMENTS, LLC 10582 SAN FRANCISCO, CA

09/1999 - 07/2001 WELLS FARGO VAN KASPER, LLC 7665 SAN FRANCISCO, CA

01/1998 - 06/1999 PAINEWEBBER INCORPORATED 8174 WEEHAWKEN, NJ

11/1995 - 01/1998 SMITH BARNEY INC. 7059 NEW YORK, NY

06/1995 - 11/1995 FIMCO SECURITIES GROUP, INC. 30343 MEQUON, WI

09/1994 - 06/1995 GREAT WESTERN FINANCIAL SECURITIESCORPORATION

14229 NORTHRIDGE, CA

07/1994 - 09/1994 PRUCO SECURITIES CORPORATION 5685 NEWARK, NJ

Employment History

Employment Dates Employer Name Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker onthe most recently filed Form U4.

Please note that the broker is required to provide this information only while registered with FINRA or a nationalsecurities exchange and the information is not updated via Form U4 after the broker ceases to be registered.Therefore, an employment end date of "Present" may not reflect the broker's current employment status.

06/2006 - Present UNEMPLOYED BEVERLY HILLS, CA

09/2006 - 03/2009 MAXXTRADE, INC. LEXINGTON, KY







Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.

EPL;BOIM,POUTRE & CO.8383 WILSHIRE BLVD.SUITE 100BEVERLY HILLS , CA 90211






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customercomplaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and criminal or civiljudicial proceedings.

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 broker is required to disclose a particular

criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules

or conduct governing the industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers,

brokerage firms and regulators. When more than one of these sources reports information for the samedisclosure event, all versions of the event will appear in the BrokerCheck report. The different versionswill be separated by a solid line with the reporting source labeled.

o4. 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. Pleasenote that brokers and brokerage firms may choose to settle customer disputes or regulatorymatters for business or other reasons.

§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoingon the part of the individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker.Further information regarding these events can be found in the subsequent pages of this report. You also maywish to contact the broker to obtain further information regarding these events.

Final On AppealPending

Regulatory Event 0 4 0






Customer Dispute 2 2 N/A

Termination N/A 2 N/A

Financial 0 1 N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegationsthat are contested and have not been resolved or proven. The matter may, in the end, be withdrawn, dismissed,resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e.g., tomaintain customer relationships or to limit the litigation costs associated with disputing the allegations) with noadmission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fieldscontained in the report may be blank if the information was not provided to CRD.

Regulatory - Final

This type of disclosure event may involve (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of a broker's authority to act as an attorney, accountant, or federal contractor.

Disclosure 1 of 4

Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Other: N/A

Date Initiated: 07/16/2010

Docket/Case Number: 2008011759201

Employing firm when activityoccurred which led to theregulatory action:

MAXXTRADE, INC.

Product Type: Debt-Corporate

Allegations: NASD RULES 2110, 2440 - MICHAEL A. POUTRE PLACED ORDERS FOR THESALE OF CORPORATE BONDS AND PLACED CHARGES ON THE ORDERSFOR MARKUPS, WHICH WERE NOT FAIR AND REASONABLE, INCONSIDERATION OF THE FACTORS SET FORTH IN NASD INTERPRETATIVEMATERIAL 2440(B). POUTRE SOLICITED SECURITIES TRANSACTIONS INACTIVELY TRADED, LIQUID CORPORATE BOND TRANSACTIONS FORCUSTOMERS AND CHARGED THE CUSTOMERS MARKUPS ORMARKDOWNS THAT EXCEEDED 3% AND $400. MOST OF THETRANSACTIONS WERE LARGE AND, BECAUSE THEY INVOLVEDCORPORATE BONDS, A MARKUP OR MARKDOWN OVER 3% WOULD BECONSIDERED EXCESSIVE. THE CORPORATE BONDS INVOLVED WEREREADILY AVAILABLE AND INVOLVED LARGE TRANSACTIONS OF HIGHERPRICED SECURITIES, WHICH JUSTIFIED LOWER PERCENTAGE RATES. THEMARKUPS AND MARKDOWNS WERE NOT DISCLOSED TO THE CUSTOMERSAND THE NUMBER OF VIOLATIVE TRANSACTIONS ESTABLISHES APATTERN OF EXCESSIVE MARKUPS AND MARKDOWNS. NOTHING INPOUTRE'S OR HIS MEMBER FIRM'S BUSINESS ACTIVITIES JUSTIFIED THEMARKUPS OR MARKDOWNS OF OVER 3%.





https://www.finra.org/industry/disciplinary-actions/finra-disciplinary-actions-online?search=2008011759201


NASD RULES 2110, 2440 - MICHAEL A. POUTRE PLACED ORDERS FOR THESALE OF CORPORATE BONDS AND PLACED CHARGES ON THE ORDERSFOR MARKUPS, WHICH WERE NOT FAIR AND REASONABLE, INCONSIDERATION OF THE FACTORS SET FORTH IN NASD INTERPRETATIVEMATERIAL 2440(B). POUTRE SOLICITED SECURITIES TRANSACTIONS INACTIVELY TRADED, LIQUID CORPORATE BOND TRANSACTIONS FORCUSTOMERS AND CHARGED THE CUSTOMERS MARKUPS ORMARKDOWNS THAT EXCEEDED 3% AND $400. MOST OF THETRANSACTIONS WERE LARGE AND, BECAUSE THEY INVOLVEDCORPORATE BONDS, A MARKUP OR MARKDOWN OVER 3% WOULD BECONSIDERED EXCESSIVE. THE CORPORATE BONDS INVOLVED WEREREADILY AVAILABLE AND INVOLVED LARGE TRANSACTIONS OF HIGHERPRICED SECURITIES, WHICH JUSTIFIED LOWER PERCENTAGE RATES. THEMARKUPS AND MARKDOWNS WERE NOT DISCLOSED TO THE CUSTOMERSAND THE NUMBER OF VIOLATIVE TRANSACTIONS ESTABLISHES APATTERN OF EXCESSIVE MARKUPS AND MARKDOWNS. NOTHING INPOUTRE'S OR HIS MEMBER FIRM'S BUSINESS ACTIVITIES JUSTIFIED THEMARKUPS OR MARKDOWNS OF OVER 3%.

Current Status: Final

Resolution: Acceptance, Waiver & Consent(AWC)

Resolution Date: 07/16/2010

Sanctions Ordered:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Suspension

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or






Regulator Statement WITHOUT ADMITTING OR DENYING THE FINDINGS, POUTRE CONSENTEDTO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS;THEREFORE, HE IS SUSPENDED FROM ASSOCIATION WITH ANY FINRAMEMBER IN ANY CAPACITY FOR 30 DAYS. THE SUSPENSION IS IN EFFECTFROM AUGUST 2, 2010 THROUGH AUGUST 31, 2010.


(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: ANY CAPACITY

Duration: 30 DAYS

Start Date: 08/02/2010

End Date: 08/31/2010

Sanction 1 of 1

Sanction Type: Suspension






Broker Comment: IN CONNECTION WITH THE EVENTS RELATED TO THIS DISCLOSURE ON MAY20, 2009, I FILED A LAWSUIT AGAINST MAXX TRADE IN THE UNITED STATESDISTRICT COURT FOR THE EASTERN DISTRICT OF KENTUCKY. I CLAIMEDAMONG OTHER THINGS, THAT THE PRINCIPAL OWNERS OF MAXX TRADEADDED, WITHOUT MY KNOWLEDGE, A SEPARATE COMMISSION ON TOP OFTHE FAIR AND REASONABLE COMMISSION I CHARGED MY BOND CLIENTS.THIS RESULTED IN THE IMPERMISSIBLE MARK-UPS THAT WERE THESUBJECT OF THIS DISCLOSURE.

I ALSO MADE THESE ALLEGATIONS IN CONNECTION WITH A PARALLEL FINRAARBITRATION AGAINST MAXX TRADE AND ITS PRINCIPALS. PURSUANT TOTHE ARBITRATION, ON FEBRUARY 15, 2011 I WAS AWARDED COMPENSATORYDAMAGES, INTEREST ATTORNEYS' FEES, AND COSTS WITH RESPECT TO MYCLAIMS AGAINST MAXX TRADE AND ITS PRINCIPALS.

Regulator Statement WITHOUT ADMITTING OR DENYING THE FINDINGS, POUTRE CONSENTEDTO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS;THEREFORE, HE IS SUSPENDED FROM ASSOCIATION WITH ANY FINRAMEMBER IN ANY CAPACITY FOR 30 DAYS. THE SUSPENSION IS IN EFFECTFROM AUGUST 2, 2010 THROUGH AUGUST 31, 2010.

Disclosure 2 of 4

i



FINRA

Sanction(s) Sought: Other: N/A


Docket/Case Number: 2009017566301


MAXXTRADE, INC.

Product Type: No Product

Allegations: FINRA RULES 2010, 8210: POUTRE FAILED TO PROVIDE A COMPLETERESPOND TO FINRA REQUESTS FOR INFORMATION AND DOCUMENTS IN APENDING INVESTIGATION CONCERNING HIS OUTSIDE BUSINESSACTIVITIES.


Resolution: Acceptance, Waiver & Consent(AWC)






https://www.finra.org/industry/disciplinary-actions/finra-disciplinary-actions-online?search=2009017566301



Sanctions Ordered:


No

Civil and Administrative Penalty(ies)/Fine(s)Suspension

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?








(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: ALL CAPACITIES

Duration: TWO YEARS

Start Date: 06/07/2010

End Date: 06/06/2012

Sanction 1 of 1

Sanction Type: Suspension






Broker Comment: IN CONNECTION WITH THE EVENTS RELATED TO THIS DISCLOSURE, ON MAY20, 2009, I FILED A LAWSUIT AGAINST MAXX TRADE IN THE UNITED STATESDISTRICT COURT FOR THE EASTERN DISTRICT OF KENTUCKY. I CLAIMEDAMONG OTHER THINGS, THAT THE PRINCIPAL OWNERS OF MAXX TRADEFILED CLAIMS WITH FINRA THAT WERE INACCURATE AND DEFAMATORYRESULTING IN I BECOMING THE SUBJECT OF THE FINRA INQUIRY THAT WASTHE SUBJECT OF THIS DISCLOSURE.

I ALSO MADE THESE ALLEGATIONS IN CONNECTION WITH A PARALLEL FINRAARBITRATION AGAINST MAXX TRADE AND ITS PRINCIPALS. PURSUANT TOTHE ARBITRATION, ON FEBRUARY 15, 2011 I WAS AWARDED COMPENSATORYDAMAGES, INTEREST, ATTORNEYS' FEES, AND COSTS WITH RESPECT TO MYCLAIMS AGAINST MAXX TRADE AND ITS PRINCIPALS.

Regulator Statement WITHOUT ADMITTING OR DENYING THE FINDINGS, POUTRE CONSENTEDTO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS;THEREFORE, HE IS FINED $5,000 AND SUSPENDED FROM ASSOCIATIONWITH ANY FINRA MEMBER IN ANY CAPACITY FOR TWO YEARS. THE FINE ISDUE AND PAYABLE EITHER IMMEDIATELY UPON RE-ASSOCIATION WITH AMEMBER FIRM FOLLOWING HIS SUSPENSION OR PRIOR TO ANY REQUESTFOR RELIEF FROM ANY STATUTORY DISQUALIFICATION RESULTING FROMTHIS OR ANY OTHER EVENT OR PROCEEDING, WHICHEVER IS EARLIER.THE SUSPENSION IS IN EFFECT FROM JUNE 7, 2010, THROUGH JUNE 6,2012.

Monetary Related Sanction: Civil and Administrative Penalty(ies)/Fine(s)

Total Amount: $5,000.00

Portion Levied againstindividual:

$5,000.00

Date Paid by individual:

Was any portion of penaltywaived?

No

Amount Waived:

Monetary Sanction 1 of 1

Payment Plan:

Is Payment Plan Current: No

Disclosure 3 of 4

i








MASSACHUSETTS

Sanction(s) Sought: Denial

Other Sanction(s) Sought:


Docket/Case Number: R-2007-66


MAXXTRADE, INC.


Other Product Type(s):

Allegations: ON OR ABOUT JULY 9, 2007, MAXXTRADE, INC. ("MTI") SUBMITTED TO THECRD OF THE NASD AN APPLICATION (THE "APPLICATION") FOR SECURITIESINDUSTRY REGISTRATION SEEKING REGISTRATION OF POUTRE AS ANAGENT OF MTI IN MASSACHUSETTS. ON JULY 19, 2007, THE DIVISION SENTA LETTER REQUESTING ADDITIONAL INFORMATION REGARDING MR.POUTRE'S APPLICATION FROM MTI.POUTRE FILED AN APPLICATION FOR REGISTRATION AS A BROKER-DEALER AGENT OF MTI IN MASSACHUSETTS WHICH WAS MATERIALLYINCOMPLETE. THAT FACT CONSTITUTES GROUNDS FOR DENYINGPOUTRE'S APPLICATION FOR REGISTRATION AS A BROKER-DEALERAGENT OF MTI IN MASSACHUSETTS, PURSUANT TO M.G.L. C. 110A,204(A)(2)(A).


Resolution: Order


Sanctions Ordered:

Other Sanctions Ordered: THE PRESIDING OFFICER FOUND THE RELIEF REQUESTED BY THELICENSING SECTION IS IN THE PUBLICINTEREST, POUTRE AND MTI TO BE IN DEFAULT OF THE DIVISION'SADMINISTRATIVE COMPLAINT OFAUGUST 8, 2007, AND THE ALLEGATIONS AND CHARGES SET FORTH INTHE ADMINISTRATIVE COMPLAINT,ISSUED THIS ALLOWANCE OF MOTION FOR DEFAULT, DEFAULT ORDERAND ORDER DENYING BROKER-DEALER AGENT REGISTRATION WITH RESPECT TO RESPONDENTPOUTRE; AND DENIED THE APPLICATIONFOR REGISTRATION OF MICHAEL POUTRE II AS A BROKER-DEALER AGENTOF MAXXTRADE, INC. IN THECOMMONWEALTH OF MASSACHUSETTS.


No

Revocation/Expulsion/Denial






THE PRESIDING OFFICER FOUND THE RELIEF REQUESTED BY THELICENSING SECTION IS IN THE PUBLICINTEREST, POUTRE AND MTI TO BE IN DEFAULT OF THE DIVISION'SADMINISTRATIVE COMPLAINT OFAUGUST 8, 2007, AND THE ALLEGATIONS AND CHARGES SET FORTH INTHE ADMINISTRATIVE COMPLAINT,ISSUED THIS ALLOWANCE OF MOTION FOR DEFAULT, DEFAULT ORDERAND ORDER DENYING BROKER-DEALER AGENT REGISTRATION WITH RESPECT TO RESPONDENTPOUTRE; AND DENIED THE APPLICATIONFOR REGISTRATION OF MICHAEL POUTRE II AS A BROKER-DEALER AGENTOF MAXXTRADE, INC. IN THECOMMONWEALTH OF MASSACHUSETTS.

Sanction Details: ON DECEMBER 10, 2007, THE PRESIDING OFFICER FOUND THE RELIEFREQUESTED BY THE LICENSINGSECTION IS IN THE PUBLIC INTEREST, POUTRE AND MTI TO BE IN DEFAULTOF THE DIVISION'SADMINISTRATIVE COMPLAINT OF AUGUST 8, 2007, AND THE ALLEGATIONSAND CHARGES SET FORTH INTHE ADMINISTRATIVE COMPLAINT, ISSUED THIS ALLOWANCE OF MOTIONFOR DEFAULT, DEFAULT ORDERAND ORDER DENYING BROKER-DEALER AGENT REGISTRATION WITHRESPECT TO RESPONDENT POUTRE;AND DENIED THE APPLICATION FOR REGISTRATION OF MICHAEL POUTREII AS A BROKER-DEALER AGENT OFMAXXTRADE, INC. IN THE COMMONWEALTH OF MASSACHUSETTS.

Regulator Statement ON OR ABOUT JULY 9, 2007, MAXXTRADE, INC. ("MTI") SUBMITTED TO THECRD OF THE NASD AN APPLICATION (THE "APPLICATION") FOR SECURITIESINDUSTRY REGISTRATION SEEKING REGISTRATION OF POUTRE AS ANAGENT OF MTI IN MASSACHUSETTS. ON JULY 19, 2007, THE DIVISION SENTA LETTER REQUESTING ADDITIONAL INFORMATION REGARDING MR.POUTRE'S APPLICATION FROM MTI.POUTRE FILED AN APPLICATION FOR REGISTRATION AS A BROKER-DEALER AGENT OF MTI IN MASSACHUSETTS WHICH WAS MATERIALLYINCOMPLETE. THAT FACT CONSTITUTES GROUNDS FOR DENYINGPOUTRE'S APPLICATION FOR REGISTRATION AS A BROKER-DEALERAGENT OF MTI IN MASSACHUSETTS, PURSUANT TO M.G.L. C. 110A,204(A)(2)(A).ON DECEMBER 10, 2007, THE PRESIDING OFFICER FOUND THE RELIEFREQUESTED BY THE LICENSINGSECTION IS IN THE PUBLIC INTEREST, POUTRE AND MTI TO BE IN DEFAULTOF THE DIVISION'SADMINISTRATIVE COMPLAINT OF AUGUST 8, 2007, AND THE ALLEGATIONSAND CHARGES SET FORTH INTHE ADMINISTRATIVE COMPLAINT, ISSUED THIS ALLOWANCE OF MOTIONFOR DEFAULT, DEFAULT ORDERAND ORDER DENYING BROKER-DEALER AGENT REGISTRATION WITHRESPECT TO RESPONDENT POUTRE;AND DENIED THE APPLICATION FOR REGISTRATION OF MICHAEL POUTREII AS A BROKER-DEALER AGENT OFMAXXTRADE, INC. IN THE COMMONWEALTH OF MASSACHUSETTS.






ON OR ABOUT JULY 9, 2007, MAXXTRADE, INC. ("MTI") SUBMITTED TO THECRD OF THE NASD AN APPLICATION (THE "APPLICATION") FOR SECURITIESINDUSTRY REGISTRATION SEEKING REGISTRATION OF POUTRE AS ANAGENT OF MTI IN MASSACHUSETTS. ON JULY 19, 2007, THE DIVISION SENTA LETTER REQUESTING ADDITIONAL INFORMATION REGARDING MR.POUTRE'S APPLICATION FROM MTI.POUTRE FILED AN APPLICATION FOR REGISTRATION AS A BROKER-DEALER AGENT OF MTI IN MASSACHUSETTS WHICH WAS MATERIALLYINCOMPLETE. THAT FACT CONSTITUTES GROUNDS FOR DENYINGPOUTRE'S APPLICATION FOR REGISTRATION AS A BROKER-DEALERAGENT OF MTI IN MASSACHUSETTS, PURSUANT TO M.G.L. C. 110A,204(A)(2)(A).ON DECEMBER 10, 2007, THE PRESIDING OFFICER FOUND THE RELIEFREQUESTED BY THE LICENSINGSECTION IS IN THE PUBLIC INTEREST, POUTRE AND MTI TO BE IN DEFAULTOF THE DIVISION'SADMINISTRATIVE COMPLAINT OF AUGUST 8, 2007, AND THE ALLEGATIONSAND CHARGES SET FORTH INTHE ADMINISTRATIVE COMPLAINT, ISSUED THIS ALLOWANCE OF MOTIONFOR DEFAULT, DEFAULT ORDERAND ORDER DENYING BROKER-DEALER AGENT REGISTRATION WITHRESPECT TO RESPONDENT POUTRE;AND DENIED THE APPLICATION FOR REGISTRATION OF MICHAEL POUTREII AS A BROKER-DEALER AGENT OFMAXXTRADE, INC. IN THE COMMONWEALTH OF MASSACHUSETTS.

iReporting Source: Broker


MASS.

Sanction(s) Sought: Denial

Other Sanction(s) Sought:


Docket/Case Number: R-2007-66


GUNN ALLEN



Allegations: ON OR ABOUT JULY 9, 2007, MAXXTRADE, INC. ("MTI") SUBMITTED TO THECRD OF THE NASD AN APPLICATION (THE "APPLICATION") FOR SECURITIESINDUSTRY REGISTRATION SEEKING REGISTRATION OF POUTRE AS ANAGENT OF MTI IN MASSACHUSETTS. ON JULY 19, 2007, THE DIVISION SENTA LETTER REQUESTING ADDITIONAL INFORMATION REGARDING MR.POUTRE'S APPLICATION FROM MTI. POUTRE FILED AN APPLICATION FORREGISTRATION AS A BROKER-DEALER AGENT OF MTI IN MASSACHUSETTSWHICH WAS MATERIALLY INCOMPLETE. THAT FACT CONSTITUTESGROUNDS FOR DENYING POUTRE'S APPLICATION FOR REGISTRATION ASA BROKER-DEALER AGENT OF MTI IN MASSACHUSETTS, PURSUANT TOM.G.L. C. 110A, 204(A)(2)(A). ON DECEMBER 10, 2007, THE PRESIDINGOFFICER FOUND THE RELIEF REQUESTED BY THE LICENSING SECTION ISIN THE PUBLIC INTEREST, POUTRE AND MTI TO BE IN DEFAULT OF THEDIVISION'S ADMINISTRATIVE COMPLAINT OF AUGUST 8, 2007, AND THEALLEGATIONS AND CHARGES SET FORTH IN THE ADMINISTRATIVECOMPLAINT, ISSUED THIS ALLOWANCE OF MOTION FOR DEFAULT,DEFAULT ORDER AND ORDER DENYING BROKER-DEALER AGENTREGISTRATION WITH RESPECT TO RESPONDENT POUTRE; AND DENIEDTHE APPLICATION FOR REGISTRATION OF MICHAEL POUTRE II AS ABROKER-DEALER AGENT OF MAXXTRADE, INC. IN THE COMMONWEALTHOF MASSACHUSETTS.






ON OR ABOUT JULY 9, 2007, MAXXTRADE, INC. ("MTI") SUBMITTED TO THECRD OF THE NASD AN APPLICATION (THE "APPLICATION") FOR SECURITIESINDUSTRY REGISTRATION SEEKING REGISTRATION OF POUTRE AS ANAGENT OF MTI IN MASSACHUSETTS. ON JULY 19, 2007, THE DIVISION SENTA LETTER REQUESTING ADDITIONAL INFORMATION REGARDING MR.POUTRE'S APPLICATION FROM MTI. POUTRE FILED AN APPLICATION FORREGISTRATION AS A BROKER-DEALER AGENT OF MTI IN MASSACHUSETTSWHICH WAS MATERIALLY INCOMPLETE. THAT FACT CONSTITUTESGROUNDS FOR DENYING POUTRE'S APPLICATION FOR REGISTRATION ASA BROKER-DEALER AGENT OF MTI IN MASSACHUSETTS, PURSUANT TOM.G.L. C. 110A, 204(A)(2)(A). ON DECEMBER 10, 2007, THE PRESIDINGOFFICER FOUND THE RELIEF REQUESTED BY THE LICENSING SECTION ISIN THE PUBLIC INTEREST, POUTRE AND MTI TO BE IN DEFAULT OF THEDIVISION'S ADMINISTRATIVE COMPLAINT OF AUGUST 8, 2007, AND THEALLEGATIONS AND CHARGES SET FORTH IN THE ADMINISTRATIVECOMPLAINT, ISSUED THIS ALLOWANCE OF MOTION FOR DEFAULT,DEFAULT ORDER AND ORDER DENYING BROKER-DEALER AGENTREGISTRATION WITH RESPECT TO RESPONDENT POUTRE; AND DENIEDTHE APPLICATION FOR REGISTRATION OF MICHAEL POUTRE II AS ABROKER-DEALER AGENT OF MAXXTRADE, INC. IN THE COMMONWEALTHOF MASSACHUSETTS.


Resolution: Order


Sanctions Ordered:

Other Sanctions Ordered: THE PRESIDING OFFICER FOUND THE RELIEF REQUESTED BY THELICENSING SECTION IS IN THE PUBLIC INTEREST, POUTRE AND MTI TO BEIN DEFAULT OF THE DIVISION'S ADMINISTRATIVE COMPLAINT OF AUGUST8, 2007, AND THE ALLEGATIONS AND CHARGES SET FORTH IN THEADMINISTRATIVE COMPLAINT, ISSUED THIS ALLOWANCE OF MOTION FORDEFAULT, DEFAULT ORDER AND ORDER DENYING BROKER- DEALERAGENT REGISTRATION WITH RESPECT TO RESPONDENT POUTRE; ANDDENIED THE APPLICATION FOR REGISTRATION OF MICHAEL POUTRE II ASA BROKER-DEALER AGENT OF MAXXTRADE, INC. IN THE COMMONWEALTHOF MASSACHUSETTS

Sanction Details: ON DECEMBER 10, 2007, THE PRESIDING OFFICER FOUND THE RELIEFREQUESTED BY THE LICENSING SECTION IS IN THE PUBLIC INTEREST,POUTRE AND MTI TO BE IN DEFAULT OF THE DIVISION'S ADMINISTRATIVECOMPLAINT OF AUGUST 8, 2007, AND THE ALLEGATIONS AND CHARGESSET FORTH IN THE ADMINISTRATIVE COMPLAINT, ISSUED THISALLOWANCE OF MOTION FOR DEFAULT, DEFAULT ORDER AND ORDERDENYING BROKER-DEALER AGENT REGISTRATION WITH RESPECT TORESPONDENT POUTRE; AND DENIED THE APPLICATION FORREGISTRATION OF MICHAEL POUTRE II AS A BROKER-DEALER AGENT OFMAXXTRADE, INC. IN THE COMMONWEALTH OF MASSACHUSETTS.

Revocation/Expulsion/Denial

Disclosure 4 of 4

i



NASD

Sanction(s) Sought:


Docket/Case Number: E9B20040410


FIRST MONTAUK SECURITIES CORP.







Allegations: NASD 2110 AND 8210: POUTRE FAILED TO PROVIDE COMPLETE ANDTIMELY INFORMATION TO NASD STAFF DURING ON-SITE EXAMINATION.


Resolution: Decision & Order of Offer of Settlement


Sanctions Ordered:

Regulator Statement WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENTCONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OFFINDINGS; THEREFORE, HE IS FINED $5,000 AND SUSPENDED FROMASSOCIATION WITH ANY NASD MEMBER IN ANY CAPACITY FOR 10BUSINESS DAYS. THE SUSPENSION IN ANY CAPACITY WILL BE IN EFFECTFROM DECEMBER 4, 2006 THROUGH DECEMBER 15, 2006. FINES PAID.


No

Civil and Administrative Penalty(ies)/Fine(s)Suspension



NASD BOSTON DISTRICT OFFICE

Sanction(s) Sought: Other

Other Sanction(s) Sought: SANCTIONS ON THE RESPONDENT ACCORDING TO NASD RULE 8310 ANDAN ORDER IMPOSING COSTS DEEMED FAIR AND APPROPRIATE INACCORDANCE WITH NASD RULE 8330.


Docket/Case Number: E9B20040410


FIRST MONTAUK

Product Type: Other

Other Product Type(s):19©2018 FINRA. All rights reserved. Report about MICHAEL A. POUTRE II.





Broker Comment: IN CONNECTION WITH THE EVENTS RELATED TO THIS DISCLOSURE, MYOFFICE WAS SUBJECT TO AN UNANNOUNCED BRANCH OFFICE EXAMINATIONWHEREBY NASD STAFF REQUIRED IMMEDIATE ACCESS TO EMAILS ANDOTHER ELECTRONIC COMMUNICATIONS. CERTAIN EMAILS, WHICH ICONSIDERED PERSONAL, HAD BEEN DELETED PRIOR TO THE ARRIVAL OFNASD STAFF. I ARRANGED FOR THE OFFICE'S IT ADMINISTRATOR TORETRIEVE THE DELETED EMAILS AND PROVIDED THEM TO NASD LESS THAN24 HOURS LATER. THE CONTENT OF THE EMAILS WERE NOT THE SUBJECTOF THE OFFER AND ORDER, ONLY THEIR UNAVAILABILITY TO NASD DURINGTHEIR UNANNOUNCED EXAMINATION.


Allegations: ON AUGUST 9, 2004, AS PART OF AN NASD EXAMINATION OF POUTRE'SOFFICE, THE NASD EXAMINERS PROVIDED POUTRE AN 8210 LETTER THATORDERED HIM TO PROVIDE IMMEDIATE ACCESS TO ANY AND ALL E-MAILS.AFTER RECEIVING THE 8210 LETTER, BUT BEFORE PROVIDING ACCESS,MR. POUTRE DELETED CERTAIN BUSINESS RELATED E-MAILS FROM HISOFFICE COMPUTER. SUCH ACTS AND PRACTICES CONSTITUTEVIOLATIONS OF NASD PROCEEDURAL RULES 8210 AND 2110.


Resolution: Decision & Order of Offer of Settlement


Sanctions Ordered:

Other Sanctions Ordered:

Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLIGATION, RESPONDAENTCONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OFFINDINGS:THEREFORE , HE IS FINED $5,0000.00 AND SUSPENDED FRO MASSOCIATION WITH ANY NASD MEMBER IN ANY COPACITY FOR TENBUSINESS DAYS. THE SUSPEAION IN ANY COPACITY WILL BE IN EFFECTFROM DEC 4, 2006 THROUGH DEC 15,2006.

Broker Statement MR. POUTRE DELETED FROM HIS OFFICE PC, BUT NOT FROM THEBRANCH OFFICE'S SERVER, CERTAIN SPAM, PERSONAL AND NON-BUSINESS RELATED E-MAILS. MR. POUTRE PROVIDED THE EXAMINERSWITH ALL E-MAILS. IMCLUDING THE DELETED E-MAILS, THE NEXT DAY. THEMATTER IS AT THE PREHEARING STAGE.

Monetary/Fine $5,000.00Suspension






Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civilsuit containing allegations of sale practice violations against the broker that resulted in a monetary settlement to thecustomer.

Disclosure 1 of 2

Reporting Source: Broker

Employing firm whenactivities occurred which ledto the complaint:

Allegations:

FIRST MONTAUK SECURITIES CORP.

CLIENTS ALLEGE UNSUITABILITY IN CONNECTION WITH TRANSACTIONS INMUTUAL FUNDS

Product Type: Mutual Fund(s)

Alleged Damages: $10,000.00

Date Complaint Received: 07/09/2004

Complaint Pending? No

Status:

Status Date: 07/09/2004

Settlement Amount: $2,500.00

Individual ContributionAmount:

$0.00

Arbitration/Reparation Claimfiled with and Docket/CaseNo.:

NASD ARBITRATION #04-03973

Date Notice/Process Served: 07/09/2004

Arbitration Pending? No

Disposition: Settled

Disposition Date: 08/30/2005

Monetary CompensationAmount:

$2,500.00

Customer Complaint Information

Arbitration Information


$0.00

Settled






Broker Statement THE FIRM AND THE BROKER DENY THE ALLEGATIONS. ALLRECOMMENDATIONS MADE TO THE CLIENTS WERE SUITABLE GIVENTHEIR INVESTMENT OBJECTIVES AND FINANCIAL PROFILE. THECLAIMANTS ARE ATTEMPTING TO BLAME OTHER FOR THEIR OWNINVESTMENT DECISIONS.

Disclosure 2 of 2

i

Reporting Source: Firm


Allegations:

PAINEWEBBER INC.

CLIENT ALLEGES PAINEWEBBER FA PURCHASED $110,000 OF AOL STOCKWHEN CLIENT AUTHORIZED THE PURCHASE OF $40,000 CAUSING HIM TOLOSE $23,000. TIME PERIOD 5/1999.

Product Type: Equity Listed (Common & Preferred Stock)




Status:




$0.00

Firm Statement PAINEWEBBER SETTLED THIS MATTER BY BUSTING THE TRADES INQUESTION IN THE AMOUNT OF $15,384.38


Settled



Allegations:

PAINE WEBBER

CLIENT ALLEGED AN UNAUTHORIZED TRADE. FIRM SETTLED WITH CLIENT.


$23,000.0022©2018 FINRA. All rights reserved. Report about MICHAEL A. POUTRE II.








Status:




$0.00

Broker Statement PAINWEBBER SETTLED THIS MATTER SO AS TO AVOID THE TIME ANDEXPENSE OF POSSIBLE LITIGATION AND NOT AS AN ADMISSION OFLIABILITY. MR. POUTRE WAS NOT ASKED TO CONTRIBUTE TO THE AWARD.


Settled






Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit thatcontains allegations of sales practice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that the broker engaged in, sales practice violations resulting incompensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion of funds or securities.

Disclosure 1 of 2



Allegations:

UBS FINANCIAL SERVICES INC

PLAINTIFF, AN EARLY-STATGE INVESTOR IN TOUCHTUNES MUSIC CORP.,ALLEGES THAT THE DEFANDANTS TOUCHTUNES MUSIC INC.,VARIOUS INSIDERS OF TOUCHTUNES AND UBS AND PAINEWEBBERENGAGED IN 'MINORITY SHAREHOLDER ABUSE, OPPRESSION, FRAUD ANDSQUEEZE-OUT.' PLAINTIFF ALLEGES THAT PLANINTFF MADE HIS INITIALPURCHASE OF THE TOUCHTUNES SHARES IN 1998 AFTER RECIEVINGRESEARCH AND ADVICE FROM HIS PAINEWEBBER SECURITIES BROKERREGARDING TOUCHTUNES. TIME FRAME: 1998-2006.

Product Type: Other: EQUITIES

Alleged Damages: $12,000,000.00


Complaint Pending? Yes

Settlement Amount:



Is this an oral complaint? No

Is this a written complaint? No

Is this an arbitration/CFTCreparation or civil litigation?

Yes

Arbitration/Reparation forumor court name and location:

U.S. DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA

Docket/Case #: CV 13-4752

Filing date ofarbitration/CFTC reparationor civil litigation:

07/15/2013







Disclosure 2 of 2

i



Allegations:

JP TURNER, MAXXTRADE, INC, GUNNALLEN FINACIAL AND BROOKSTONESECURITIES

UNSUITABLE RECOMMENDATIONS, MISREPESENTATION, FRAUD ANDUNAUTHORIZED TRADES.

Product Type: Equity-OTC


Date Notice/Process Served: 05/10/2010

Arbitration Pending? Yes

Arbitration Information

Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):

FINRA

Docket/Case #: CASE #10-01359






Employment Separation After Allegations

This type of disclosure event involves a situation where the broker voluntarily resigned, was discharged, or was permittedto resign after being accused of (1) violating investment-related statutes, regulations, rules or industry standards ofconduct; (2) fraud or the wrongful taking of property; or (3) failure to supervise in connection with investment-relatedstatutes, regulations, rules, or industry standards of conduct.

Disclosure 1 of 2


Employer Name: FIRST MONTAUK SECURITIES CORP.

Termination Type: Permitted to Resign

Termination Date: 08/31/2004

Allegations: PERMITTED TO RESIGN FOR CONDUCT DURING AN NASD EXAM IN MR.POURTRE'S OFFICE


Other Product Types:


Employer Name: FIRST MONTAUK SECURITIES CORP.

Termination Type: Permitted to Resign


Allegations: PERMITTED TO RESIGN FOR CONDUCT DURING AN NASD EXAM IN MR.POUTRE'S OFFICE



Disclosure 2 of 2

i

Reporting Source: Broker

Employer Name: PAINE WEBBER

Termination Type: Discharged


Allegations: UNAUTHORIZED TRADE








Broker Statement CLIENT AND BROKER FILLED OUT DESCRETIONARY PAPERS.MANAGERDENIED DESCRETIONARY POWERS.CLIENT GAVE AUTHORIZATION TOPURCHASE 400 SHARES AMERICA ONLINE (AOL) FOR A TRADE. BROKERWANTED TO PURCHASE AN ADDITIONAL 400 SHARES.BROKER COULD NOTFIND CLIENT.CLIENT HAD EARLIER GIVEN VERBAL INSTRUCTIONS TO DOWHATEVER WAS NEEDED.BROKER PURCHASED ADDITIONAL 400 SHARESOF AOL BASED ON EARLIER INSTRUCTIONS BUT WITHOUT SPECIFICAUTHORITY TO DO SO.CLIENT CLAIMED UNAUTHORIZED TRADE.






Financial - Final

This type of disclosure event involves a bankruptcy, compromise with one or more creditors, or Securities InvestorProtection Corporation liquidation involving the broker or an organization/brokerage firm the broker controlled thatoccurred within the last 10 years.

Disclosure 1 of 1


Action Type: Bankruptcy

Action Date: 09/23/2009

Organization Investment-Related?

Action Pending? No

Disposition: Discharged

Disposition Date: 11/16/2010

Proceedings in FINRA Arbitration Cases #10-01359 and 08-01327 against MichaelPoutre were stayed by Bankruptcy proceedings in the U.S. Bankruptcy Court,Central District of California, Case #1:09-bk-22529-KT.

Regulator Statement

Bankruptcy: Chapter 7

Type of Court: Federal Court

Name of Court: U.S. Bankruptcy Court, Central District of California

Location of Court: California

Docket/Case #: 1:09-bk-22529-KT






End of Report

This page is intentionally left blank.





Date post:	13-Sep-2018
Category:	Documents
Upload:	hoangthu
View:	212 times
Download:	0 times

MICHAEL ALCIDE POUTRE II - FINRA · MICHAEL ALCIDE POUTRE II Section Title Report Summary Broker...

Documents