0001620072-22-000006.txt : 20220629 0001620072-22-000006.hdr.sgml : 20220629 20220629170741 ACCESSION NUMBER: 0001620072-22-000006 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 GANCI,RICHARD,JOSEPH, FILED AS OF DATE: 20220629 DATE AS OF CHANGE: 20220629 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Capital Markets Advisors, LLC CENTRAL INDEX KEY: 0001620072 IRS NUMBER: 020582108 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-03461 FILM NUMBER: 221055440 BUSINESS ADDRESS: STREET 1: ONE GREAT NECK ROAD STREET 2: SUITE ONE CITY: GREAT NECK STATE: NY ZIP: 10021 BUSINESS PHONE: 716-662-3910 MAIL ADDRESS: STREET 1: ONE GREAT NECK ROAD STREET 2: SUITE ONE CITY: GREAT NECK STATE: NY ZIP: 10021 MA-I/A 1 primary_doc.xml MA-I/A 0001620072 XXXXXXXX Richard Ganci 7166623910 rganci@capmark.org rganci@capmark.org cshortall@capmark.org N 0001620072-14-000005 N Richard Joseph Ganci N 1 0001620072 Capital Markets Advisors, LLC 03-07-2005 N 09-23-2014 0001620072 LOCATED 03-07-2005 4211 North Buffalo Street Suite 19 Orchard Park NY 14127 03-2005 Capital Markets Advisors, LLC Orchard Park NY 14127 Y N Senior Vice President and Principal 09-2004 03-2005 M&T Bank Buffalo NY 14203 N N Treasury Analyst N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N Y N N N N N N N N N N N N N 06-29-2022 Rick Ganci Exec VP 6H(2) SEC Y Capital Markets Advisors, LLC, Richard Ganci and Richard Tortora Y CivilAdminPenaltyFine Disgorgement none 06-14-2022 06-14-2022 Federal Court United States District Court Western District of New York Case No. 22-cv-6273 Kenneth B Keating Fed Bldg, 100 State St Rochester NY 14614 SEC Plaintiff, vs. City of Rochester, New York, Rosiland Brooks-Harris, Capital Markets Advisors, LLC, Richard Ganci, and Richard Tortora Capital Markets Advisors 867-00807 Other Municipal Advisory The City's Offering Documents were material misleading. Failure to disclose conflict of interest. Breached Fiduciary duty. 06-14-2022 N