Alain R. Lustig
Professional summary
Alain Richard Lustig was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alain is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Alain had worked at 4 firms, which includes JESUP & LAMONT SECURITIES CORP, MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2003 - December 31, 2007
JESUP & LAMONT SECURITIES CORP
October 23, 2002 - May 9, 2003
MAXIM GROUP LLC
December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
November 8, 1995 - December 18, 2000
GKN SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
Red Flags
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